- Charles Schwab (Westlake, TX)
- …Extensive experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital ... resolution skills. + Experience in finance and accounting, particularly in the bank and broker / dealer space. + Knowledge of or willingness to learn new technical… more
- Charles Schwab (Westlake, TX)
- …etc.). Ideally familiar with investment products and services offered through a major broker - dealer , and eager to learn new things and apply knowledge to ... and interpreting legal documents for validity, content, accuracy, and compliance with applicable regulatory requirements and firm guidelines. Seeking...in the securities industry (such as in a large broker - dealer or mutual fund firm) or in… more
- Robert Half Finance & Accounting (Dallas, TX)
- …firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA filings. ... bring a strong background in audit, financial reporting, and compliance , with a proven ability to enhance processes and...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain,… more
- Ankura (Dallas, TX)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... as support during the post- license examination process. Ankura's team of compliance professionals and former regulators provides expert guidance from the day of… more
- Kestra Financial (San Antonio, TX)
- …years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, mutual ... handled accurately and in a timely manner, while maintaining compliance with industry regulations. + Build and strengthen client...to clients in an accessible manner. Operational Efficiency & Compliance + Maintain and update the CRM database to… more
- Kestra Financial (Plano, TX)
- …record keeping adheres to compliance standards. * Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... compliance * Maintain CRM database; define and ensure adherence to appropriate client service models. * Manage multiple and competing priorities daily in pursuit of business objectives. * Regular client interaction including appointment scheduling and… 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 ... of Schwab and third-party experts in areas such as legal and compliance , technology, marketing, real estate, infrastructure, and healthcare. The role is **_not_**… 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 ... Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) +… more
- Ankura (Houston, TX)
- …root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, and independent ... process, from case assessment through expert testimony, as well as compliance verification services following resolution of the matter. More specifically these… more