Broker Dealer Jobs in Frisco
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Search Results - Broker Dealer Jobs in Frisco
New York Life-Frisco-talentnest.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...
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Cetera Financial Group, Inc.-Dallas, 11 mi from Frisco-
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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New York Life-Frisco-talentnest.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...
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Cetera Financial Group, Inc.-Dallas, 11 mi from Frisco-
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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New York Life-Frisco-talentnest.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...
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Cetera Financial Group, Inc.-Dallas, 11 mi from Frisco-
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-Frisco-talentnest.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...
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moomoo-Dallas, 11 mi from Frisco-workable.com-
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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New York Life-Frisco-talentnest.com-
subsidiaries, New York Life provides 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 arm...
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Adecco-Addison (TX), 14 mi from Frisco-adecco.com-
the following requirements to be considered:
• Minimum of two years of broker-dealer operations experience with knowledge of operational controls, quality assurance, and trade processing workflows.
• Intermediate Microsoft Excel and Word skills, including...
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