Broker Dealer Jobs in Texas
1 - 15 of 31
Search Results - Broker Dealer Jobs in Texas
Confidential-Austin
Play a role in the implementation of the firm’s AML and Cybersecurity programs.
What You Bring:
• Current or lapsed (and eligible for reactivation) Series 7 and Series 24 licenses.
• 2+ years of auditing experience within a broker/dealer environment...
mindmatch.ai -
Cassaday & Company, Inc.-Mclean (TX)
RESPONSIBILITITES
Compliance Program Management
• Oversee all aspects of compliance for a SEC-registered investment advisor and affiliated Broker-Dealer.
• Ensure compliance with regulatory filings.
• Maintain the firm's compliance manual, testing programs...
appcast.io -
Cetera Financial Group-Dallas
i.e. Broker Dealer or RIA)
• Strong understanding of CRM and omni channel market and telephony platforms i.e. NICE. Salesforce
Desired Knowledge, Skills, and Abilities:
• Ability to build and sustain excellent relationships at multiple levels...
mindmatch.ai -
Kestra Financial Independent Advisor-Cypress (TX)
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...
resume-library.com -
Cetera Financial Group-Dallas
on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
About Cetera Financial Group:
Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering...
mindmatch.ai -
1 similar job: Des Moines
Kestra Financial Independent Advisor-Fort Worth
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...
resume-library.com -
Northwestern Mutual-Dallas
Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC...
Kestra Financial Independent Advisor-San Antonio
Bachelor’s degree in a business-related field preferred.
5+ years of experience in financial services, with a solid understanding of broker-dealer operations and investment products (equities, bonds, options, mutual funds, annuities, insurance, managed...
resume-library.com -
JPMorganChase-Dallas
through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance...
Simplex-Mclean (TX)
infrastructure to support the continued growth of the firm.
Key Responsibilities:
Compliance Program Management:
• Oversee all aspects of compliance for an SEC-registered investment advisor and affiliated Broker-Dealer.
• Ensure compliance with regulatory...
hiringthing.com -
JPMorganChase-Frisco
through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance...
New York Life Insurance Company-Fort Worth
annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities...
mindmatch.ai -
Northwestern Mutual-Dallas
Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
NM and its subsidiaries...
New York Life Insurance Company-San Antonio
a range of competitive insurance and financial products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member...
mindmatch.ai -
JPMorganChase-Fort Worth
through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance...
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