- Charles Schwab (Southlake, TX)
- …procedures; (d) the preparation of annual compliance reports pursuant to Rule 38a-1 of the Investment Company Act of 1940 and 206(4)-7 of the Investment ... direct asset management compliance, risk, and/or audit experience with knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and… more
- Charles Schwab (Austin, TX)
- …and, (f) the preparation of annual compliance reports pursuant to Rule 38a-1 of the Investment Company Act of 1940 and 206(4)-7 of the Investment Advisers ... compliance, risk, and/or audit experience with broad and deep knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and relevant… more
- ADP (Dallas, TX)
- …planning. Educates employees on plan benefits, plan resources, financial wellness, investment company products, and also assist employees with individual ... As the Retirement Services Representative frequently discusses and educates on investment company products and processes financial transactions, **_they are… more
- City National Bank (Dallas, TX)
- …impact. * Possesses working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and ... Trust Administration, Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker/Dealer, Investment Banking activities for CNB's… more
- Sands Investment Group (Austin, TX)
- Sands Investment Group (SIG), America's Fastest Growing Investment Sales Company , is officially accepting applications for the highly-selective Junior Broker ... gain the foundational skills necessary to become successful Commercial Real Estate Investment Sales Brokers. The Junior Broker role is heavily focused on developing… more
- Principal Financial Group (Dallas, TX)
- …(strong preference for fully licensed): + Successful Registration as an Investment Company Products/Variable contracts Limited Representative (FINRA Series 6 ... on the territory) Licensing will be required based on state/federal laws and/or company policy in accordance with current licensing policy. The below licenses are… more
- Wells Fargo (Irving, TX)
- …finance support, treasury and tax management. The group also supports the company 's investment portfolios, regulator interactions and production of external ... Wells Fargo's Finance organization is responsible for driving the company 's financial management activities including accounting and control, financial planning… more
- Wells Fargo (Irving, TX)
- …finance support, treasury and tax management. The group also supports the company 's investment portfolios, regulator interactions and production of external ... Wells Fargo's Finance organization is responsible for driving the company 's financial management activities including accounting and control, financial planning… more
- Lincoln Financial (Austin, TX)
- …Bar in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of 1940 + Minimum of 10+ years' experience as an ... preferably either at a law firm or financial services company + Experience with the tax treatment of life...we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions… more
- Robert Half Finance & Accounting (Dallas, TX)
- …fund industry. Pay range is 55-70K on the base with all benefits paid by the company . The investment firm is open to candidates who have a degree in Accounting ... has teamed up with a $10 billion + alternative investment firm to assist in the recruitment of a...in the growth of a complex and fast moving company as it prepares for its initial public offering.… more