- 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
- 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
- Charles Schwab (Westlake, TX)
- …detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . + Regulatory financial reporting, and experience in treasury ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- Truist (Austin, TX)
- … compliance , supervision and/or administration. 3. Extensive knowledge of the broker / dealer and registered investment adviser industry. 4. Excellent written, ... other leadership in the designated geography, the Wealth leadership team and the Compliance , Supervision and Risk departments to ensure business unit compliance … more
- City National Bank (Dallas, TX)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk)Thrives in a dynamic team-based environment, effectively manages… more
- Lincoln Financial (Austin, TX)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... participant communications - in partnership with external administration vendor. * Ensure compliance with applicable regulations such as IRC 409A and coordinate with… 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
- Lincoln Financial (Austin, TX)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... of business processes, risks, and control objectives. + Carry out duties in compliance with all state and federal regulations and guidelines. Comply with all company… more
- City National Bank (Dallas, TX)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk). Additionally, the position is responsible for maintaining and executing… more