- Robert Half Management Resources (Dallas, TX)
- …and effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to ... Requirements * 10-15 years of experience in internal audit, compliance, or broker - dealer operations . * Extensive knowledge of FINRA and SEC regulations,… more
- Bank of America (Dallas, TX)
- …on volumes. **Required Skills:** + Minimum two years of experience working in broker dealer operations with knowledge of common operational issues, ... Managed Account Trading Operations Analyst Dallas, Texas;Addison, Texas **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer… more
- Kestra Financial (San Antonio, TX)
- …5+ years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, ... directly to the Financial Planner and manages the firm's client service operations , overseeing support staff and enhancing the client experience through proactive… more
- Coinbase (Austin, TX)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- Kestra Financial (Fort Worth, TX)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts * Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration * Series 7 and 63 required * Series 65/66… more
- Kestra Financial (Cypress, TX)
- …experience in the financial services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but ... not limited to equities, bonds, options, mutual funds, annuities, insurance, and financial planning concepts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 preferred + Series… more
- Scotiabank (Dallas, TX)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment… more
- Charles Schwab (Westlake, TX)
- …You'll thrive if you're familiar with investment products and services from a major broker - dealer and have a genuine eagerness to learn, innovate, and simplify ... week. As a **Paralegal in our Trading, Marketing, and Operations Legal Group** , you'll play a vital role...administraton experience. + Experience in the securities industry (large broker - dealer or mutual fund firm) or… more
- US Tech Solutions (Coppell, TX)
- …Banking Group, providing operational support to the US Banks and Broker / Dealer Lending Products, Deposit Products, Banking Services, Collateral Monitoring, ... written and verbal communication 4. Prior experience in Lending Operations within a Financial Services company is preferred 5....Margin Operations and Vendor Management. The candidate would be responsible… more
- Capital One (Plano, TX)
- …experience + FINRA Series 7, 79 or 99 license + 4+ years of experience in Broker Dealer + 4+ years of experience with Asset-Backed Securities + 4+ years of ... firm. The position will be part of the Commercial Operations team and will involve the processing of functions...causing trades not to settle + Work with clearing broker and client back offices to ensure accurate bookings… more