Broker Dealer Jobs in Houston
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Search Results - Broker Dealer Jobs in Houston
The Charles Schwab Corporation-Houston-
constructive business partnership
Key requirements
• Active FINRA Series 7, 9/10, and 66 registrations or equivalent
• 5+ years supervising personnel or conducting supervisory reviews in a registered investment adviser, broker-dealer, or related environment...
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Ascensus-Houston-
that cultivates repeat business and opportunitiesSuccessfully establishes and cultivates RIA Networks, Broker/Dealer Networks, TPAs, Custodial relationships/partnerships, wire houses, consulting firms and other referral sources.Direct involvement with selling...
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Fidelity Investments-Houston-
addressing complex investment and tax needs
• Drive client loyalty through high-quality service and tailored wealth solutions
• Apply knowledge of Broker/Dealer and RIA landscapes to advise clients
Key requirements
• FINRA Series 7 & 66 licensed or ability...
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Corebridge Financial-Houston-
solutions. • Provide support on issues relating to plan acquisition and administration, annuity product development, recordkeeping services, broker dealer and investment advisor operations, transfer agent operations, and defined contribution retirement plan...
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Robert Half-Houston-
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...
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Brandes-Houston-appcast.io-
aligned with Brandes’ long-term approach
• Distribute across multiple vehicles (SMAs, UMAs, mutual funds, ETFs, wrap programs)
• Increase platform presence, grow share-of-wallet, and strengthen partnerships with broker-dealers, platforms, and sub-advisory...
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Fidelity Investments-Houston-
Series 66 upon hireMinimum 12 years of financial service experience, to include complex planning and sophisticated product offeringsA sound understanding of the Broker/Dealer and RIA marketplaceBachelor’s Degree requiredAbility to implement key elements...
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Brandes-Houston-appcast.io-
aligned with Brandes’ long‑term approach
• Distribute across multiple vehicles (SMAs, UMAs, mutual funds, ETFs, wrap programs)
• Increase platform presence, grow share‑of‑wallet, and strengthen partnerships with broker‑dealers, platforms, and sub...
Read more
The Charles Schwab Corporation-Houston-
experience
• Strong interpersonal and management skills with cross-functional collaboration
• Ability to balance multiple changing priorities
• Knowledge of project management methods (waterfall and Agile)
• Knowledge of Securities Finance industry and broker...
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Houston-icims.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...
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Green Key Resources-Houston-
audits and regulatory exams. The role offers remote work with occasional client travel and a path to FINRA licensing. You’ll work with broker-dealers, investment advisers, and funds to strengthen financial controls and analysis.
Compensation / Benefits...
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Deloitte-Houston-
Our clients include asset, wealth, and investment advisers and administrators from every sector of the industry, including investment managers, broker-dealers, banks, insurance companies, mutual funds, hedge funds, private equity, alternative products...
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KForce-Houston-
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...
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Deloitte-Houston-
advances in technology, and the changing demands of their customers. Our clients include asset, wealth, and investment advisers and administrators from every sector of the industry, including investment managers, broker-dealers, banks, insurance companies...
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Deloitte-Houston-
advances in technology including AI, and the changing demands of their customers. Our clients include asset, wealth, and investment advisers and administrators from every sector of the industry, including investment managers, broker-dealers, banks...
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