- TIAA (Dallas, TX)
- …Health/Life licensing in all 50 states. This role falls under the scope of the Broker - Dealer . All licenses must be obtained within 120 days from start date. ... **Key Responsibilities and Duties** + Take inbound calls from both internal partners and clients to help identify product and investment needs. + Determine where client has a need and create or manage associated opportunity to a won or lost sale. + Provide… more
- Charles Schwab (Westlake, TX)
- …well-established firms. Hundreds of large financial advisors from the wirehouse, independent broker dealer , and other channels decide to make the transition ... to independence by becoming an RIA and starting their own firms. While the move may be positively ambitious, it comes with a major challenge that these advisors have never experienced: starting and managing and ultimately growing their own business. Your role… more
- JPMorgan Chase (Webster, TX)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Huntington National Bank (Dallas, TX)
- …of Investigations) background check with fingerprinting to be associated with the broker dealer . Not required to become a registered representative. Exempt ... Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay) Yes Workplace Type: Office Our Approach to Office Workplace Type Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the… more
- MUFG (Irving, TX)
- …+ 5-7 years of Compliance and Control Room experience required + FINRA Broker Dealer experience + Strong knowledge of financial markets, investment banking, ... capital markets and products + Outstanding analytical and organizational skills + Experience delivering on projects + Experience working in a large international organization preferred + Excellent communications skills (verbal and written) + Experience with… more
- Bank of America (Addison, TX)
- …on volumes. **Required Skills:** + Minimum two years of experience working in broker dealer operations with knowledge of common operational issues, controls and ... quality assurance (QA) + Prior experience serving as lead in an operational environment or currently working as a consistently high performing GWIM Service Operations Representative + Must be able to give clear effective examples of past successes in teamwork,… more
- Ankura (Dallas, TX)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- Ankura (Dallas, TX)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- JPMorgan Chase (Dallas, TX)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- JPMorgan Chase (Austin, TX)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more