Broker Dealer Jobs in Dallas
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Search Results - Broker Dealer Jobs in Dallas
Cetera Financial Group, Inc.-Dallas
Job Description
The Sr. Compliance Analyst (Regulatory Exams) is responsible for supporting the network of Cetera Financial Group's broker/dealer and registered investment advisers throughout the examination process. The Regulatory Exam Manager...
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moomoo-Dallas
About Futu US Inc.
Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU...
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workable.com -
Cetera Financial Group, Inc.-Dallas
meet regulatory and broker-dealer compliance standards.
Responsible for low to mid-level escalations, partnering with the Operations Team Lead and leadership to research, communicate, and resolve issues in a timely manner.
Proactively identify...
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Dallas
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 are in Milwaukee, WI.
• Individuals...
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icims.com -
Kforce Technology Staffing-Dallas
operations, advisory accounts, transfers, direct business, etc.
• Provide support to our clients with the navigation while using various systems associated with the broker-dealer
• Maintain minimum call handling requirements and quality review scores while...
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New York Life-Dallas
subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds^(1) through our broker-dealer arm, NYLIFE Securities LLC (member...
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talentnest.com -
Cetera Financial Group, Inc.-Dallas
Minimum of 5 years of due diligence experience in a broker-dealer.
• Operational Excellence: Strong ability to design, execute, optimize complex workflows, manage high volumes under tight deadlines.
• Risk & Control Mindset: Comfort operating within...
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New York Life-Dallas
subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds^(1) through our broker-dealer arm, NYLIFE Securities LLC (member...
Read more
talentnest.com -
moomoo-Dallas
About Futu US Inc.
Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU).
Our...
Read more
workable.com -
New York Life-Dallas
subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds^(1) through our broker-dealer arm, NYLIFE Securities LLC (member...
Read more
talentnest.com -
moomoo-Dallas
About Futu US Inc.
Futu US Inc. stands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage — all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU).
Our...
Read more
workable.com -
New York Life-Dallas
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 licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered...
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talentnest.com -
New York Life-Dallas
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 licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered...
Read more
talentnest.com -
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