Broker Dealer Jobs in Fort Worth
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Search Results - Broker Dealer Jobs in Fort Worth
Robert HalfFort Worth
regulatory exposure while enabling growth
Key requirements
• Active FINRA registrations: Series 24, Series 7, and Series 63/65/66
• Broker-dealer or wealth management compliance experience focused on advisor communications and social media supervision under...
New York LifeFort Worthtalentnest.com
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...
Morgan StanleyFort Worth
cross-border policies, procedures, and control frameworks for Financial Advisors via the U.S. broker-dealer.
• Assess evolving jurisdictional requirements and translate them into business requirements, controls, escalation plans, and implementation...
Fort Worthicims.com
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...
KrollFort Worth
Overview
In this role you will lead delivery of expert compliance guidance to RIAs, broker-dealers, and registered funds. You will own senior client relationships, mentor the team, and drive strategic growth of the compliance consulting practice...
New York LifeFort Worthtalentnest.com
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...
Hilltop HoldingsFort Worth
strongly preferred
• 15+ years of leadership in enterprise transformation, business process reengineering, or related areas
• Experience in financial services (banking, mortgage, broker-dealer, wealth management)
• Proven track record delivering measurable...
Apex Fintech SolutionsFort Worth
Overview
In this role you ensure regulatory integrity for Apex’s Broker/Dealer operations. You will uphold and enhance compliance policies, support examinations, and monitor programs to meet FINRA, SEC, and other requirements. You work closely...
Morgan StanleyFort Worth
information
• Promote a no-surprises culture by ensuring risks are understood and managed
Key requirements
• 5+ years in blockchain and digital asset activities
• Experience in banking, broker-dealer, VASP, or CASP preferred
• Strong understanding...
KForceFort Worth
roles in the financial industry (preferably in the RIA space)
• Approximately 10-20% travel for client onboarding, leadership meetings, planning, and industry events
• Success in navigating complex RIA, broker-dealer, custodial, and technology...
RSM InternationalFort Worth
Overview
In this role you will lead and deliver regulatory compliance assessments for broker-dealers and RIAs, shaping robust programs that meet regulatory expectations. You’ll work with cross-functional teams to strengthen controls, conduct...
The Charles Schwab CorporationFort Worth
Maintain up-to-date knowledge of FINRA, SEC, NFA, OCC and privacy regulations.
Key requirements
• Five+ years of financial services experience with understanding of holding companies, banks, broker-dealers, and testing methodologies.
• Knowledge of FRB...
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