Broker Dealer Jobs in Plano
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Search Results - Broker Dealer Jobs in Plano
JCW Group-Plano
in a fast-paced environmen
• t.Team-oriented mindset with a willingness to take ownership of tasks and project
s.Preferred Qualificatio
• nsExperience working within an RIA, broker-dealer, family office, or wealth management practic
• e.Knowledge...
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New York Life-Plano
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 -
Beacon Pointe Advisors LLC-Plano
networking, and strategic outreach
Qualifications
• 5+ years of experience as a Financial Advisor or Wealth Advisor
• Proven track record of client acquisition and asset growth
• Background in a wirehouse, independent broker-dealer, bank, or RIA environment...
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primepay-recruit.com -
Cetera Financial Group, Inc.-Dallas, 6 mi from Plano
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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Innovayte-Dallas, 6 mi from Plano
dealer operations.
• Product Expertise: Comprehensive knowledge of financial products, including equities, mutual funds, bonds, options, and alternative investments.
• Industry Insight: Extensive working knowledge of the brokerage and investment advisory...
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Leon Capital Group-Dallas, 6 mi from Plano
governance and compliance program fundamentals.
Preferred:
• In-house experience within an investment manager, financial institution, broker-dealer, or insurance platform.
• Exposure to insurance or reinsurance regulatory environments.
• Background...
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BFS Advisory Group-Dallas, 6 mi from Plano
with direct responsibility for processing paperwork (RIA, broker-dealer, insurance, or related environment)
• Demonstrated experience working with custodians such as Fidelity, Schwab, or similar platforms
• Experience submitting and tracking annuity...
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Cetera Financial Group-Dallas, 6 mi from Plano
Insurance licenses
• Prior independent broker‑dealer experience
• Experience with systems such as Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce and Docupace
• Experience supporting M&A, region growth efforts, complex supervision matters, or firm...
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New York Life-Plano
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 -
Judge Group, Inc.-Southlake, 25 mi from Plano
the future of finance.
We are undertaking a significant technical transformation within our Broker-Dealer Systems to modernize our core technology infrastructure. As a Senior AI Developer, you will operate at the intersection of cutting-edge...
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