- Robert Half Legal (Dallas, TX)
- …across the organization. * Support stakeholders by drafting, reviewing, and revising broker - dealer compliance policies and procedures. * Provide expertise in ... effectively. The ideal candidate will possess expertise in compliance operations and regulatory management, contributing to the continuous improvement...broker - dealer compliance, leveraging industry knowledge to maintain… more
- Charles Schwab (Westlake, TX)
- …experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital to ... resolution skills. + Experience in finance and accounting, particularly in the bank and broker / dealer space. + Knowledge of or willingness to learn new technical… 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. ... for an experienced Controller to oversee and optimize accounting operations for our organization in Dallas, Texas. The ideal...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… 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 ... week. As a **Paralegal** in our Trading, Marketing and Operations Legal Group you will provide legal support for...in the securities industry (such as in a large broker - dealer or mutual fund firm) or in… more
- HUB International (Austin, TX)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly visible, senior ... one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee...and completion of the ADV forms with support of operations and advisor staff. + Participate in the investment… more