- Unknown (Houston, TX)
- …The successful candidate will be a hands-on leader with deep expertise in broker - dealer operations , GAAP accounting, and SEC/ FINRA reporting, and will be ... environment, is required. The role demands a comprehensive knowledge of broker - dealer operations , FINRA /SEC regulations, and financial reporting… more
- Unknown (Austin, TX)
- …collaborate across multiple stakeholders and a strong focus on regulatory compliance and broker - dealer operations . Hiring Manager Title COO Travel Percent ... role at the company should possess deep, hands-on expertise in FINRA and SEC regulations, broker - dealer compliance, and risk management, ideally gained from… more
- Unknown (Fort Worth, TX)
- …to take the lead in all regulatory and compliance functions for its registered broker - dealer and RIA. The successful candidate will be responsible for developing ... for the CRO position at the company should have a minimum of 15 years' of broker - dealer compliance experience, with a deep understanding of FINRA , SEC, and… more
- Unknown (Houston, TX)
- …to take the lead in all regulatory and compliance functions for its registered broker - dealer and RIA. The successful candidate will be responsible for developing ... leadership, legal, and product teams to ensure that compliance operations are in sync with business initiatives. Applicants for...have a deep understanding of the regulatory landscape, including FINRA , SEC, and state regulations, and be adept at… more
- Robert Half Management Resources (Dallas, TX)
- …years of experience in internal audit, compliance, or broker - dealer operations . * Extensive knowledge of FINRA and SEC regulations, with hands-on ... and effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to… more
- Coinbase (Austin, TX)
- …business. This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to ... * 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
- US Bank (Irving, TX)
- …Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA Regulations, 12CFR9 ... in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission… more
- Principal Financial Group (Addison, TX)
- …a related field preferred. + 2+ years of related work experience in life insurance/ broker - dealer or RIA operations : client service, account opening, account ... investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM… more
- Robert Half Finance & Accounting (Dallas, TX)
- …CPA firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA ... filings. * Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain internal controls consistent with the… 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 ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
