- Coinbase (Austin, TX)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- Robert Half Legal (Dallas, TX)
- …across the organization. * Support stakeholders by drafting, reviewing, and revising broker - dealer compliance policies and procedures. * Provide expertise ... in broker - dealer compliance , leveraging industry knowledge to maintain standards and address challenges. Requirements * Proven experience in compliance … more
- HUB International (Austin, TX)
- …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
- Charles Schwab (Westlake, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- Charles Schwab (Westlake, TX)
- …5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior ... and objective assurance activity designed to improve the organization's operations and compliance with key regulations by evaluating and improving the efficiency of… more
- Robert Half Management Resources (Dallas, TX)
- …operational effectiveness. Requirements * 10-15 years of experience in internal audit, compliance , or broker - dealer operations. * Extensive knowledge of ... to lead and develop the internal audit function for a dynamic clearing broker - dealer organization. This strategic role involves building audit frameworks that… more
- Guardian Life (Austin, TX)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… 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, ... of interest. The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable… more
- Principal Financial Group (Addison, TX)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... onboarding new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial… more