- Edward Jones (Mineola, TX)
- …assigned study period + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance ... licenses required + As an associate, you are required to complete all ongoing training offered by the firm and regulatory authorities, as well as required training to maintain license in good standing Read More About Skills/Requirements **Awards & Accolades**… more
- Bank of America (Dallas, TX)
- …conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this ... role include completing investigations while ensuring cases meet or exceed closure and quality metrics, reporting facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in… more
- Bank of America (Fort Worth, TX)
- …execute and confirm trade orders as well as a variety of securities transactions initiated by self-directed clients Assist clients with brokerage consumer website ... usage and navigation Educate potential and existing clients about investment products, services and trading strategies Research and resolve client requests Maintain current knowledge of Merrill products, policies, and services while keeping abreast of… more
- Principal Financial Group (Dallas, TX)
- …retirement industry experience + Must become an associated person of Principal Securities , Inc + Qualified Plan knowledge and unbundled experience strongly preferred ... (Defined Benefit, Defined Contribution) + Excellent demonstrated leadership, negotiation, presentation, organizational, and problem-solving skills required, as well as outstanding interpersonal, analytical, and oral and written communication skills + Must be… more
- Wells Fargo (Irving, TX)
- …check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states ... that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. + Specific compliance policies may… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- Charles Schwab (Southlake, TX)
- …of 1940, Investment Advisers Act of 1940, and relevant federal and state securities laws, rules, and regulations + Other relevant asset management experience may be ... considered Skills + Able to identify issues and solutions with an understanding of how those solutions impact the broader ecosystem + Foster strong and meaningful networks and partnerships across the organization, establishing trust and confidence with a… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- Edward Jones (Temple, TX)
- …degree is strongly preferred or equivalent work-related experience within the securities /financial services industry + Financial services and/or sales experience + ... Financial services registration, licensing, or certification + Professional and/or military career progression **Licensing:** + SIE (which can be obtained without Firm sponsorship), Series 7 and Series 66 will be required; if not currently registered,… more