Broker Dealer Jobs in Texas
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Search Results - Broker Dealer Jobs in Texas
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...
Level Four GroupEl Paso
Associate are:
• Work with the Advisor to provide the firm’s stated Client Experience
• Serve as the main contact point for clients and advisor(s) for service needs/questions
• Working directly with custodian(s), Level Four Financial (Broker Dealer...
Judge Group, Inc.Austin
to Java apps/SQL or MongoDB
Hands-on experience with Large Language Models (e.g., GPT-5, Claude, Gemini, PaLM)
• - Domain Expertise: Understanding of broker-dealer capabilities and operations.
• Communication: Excellent communication skills; proven...
AdeccoAddison (TX)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...
American AirlinesFort Worth
Coordinate with various business units within the Credit Union and Broker Dealer
• Manage member education projects and events, ensuring presentations, materials, and all collaterals are compliance approved and delivered in a timely manner
• Manage compliance...
moomooDallasworkable.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...
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...
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...
Kforce Technology StaffingDallas
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...
New York LifeDallastalentnest.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...
3 similar jobs: Waxahachie, Tyler, Waco
Beacon Pointe Advisors LLCPlanoprimepay-recruit.com
experience) preferred
• 1 - 2+ years of relevant experience working with high-net worth individuals a plus; preferably with a Registered Investment Advisor (RIA), investment management firm or broker/dealer
• Excellent written and verbal communication skills...
New York LifeRockwalltalentnest.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...
3 similar jobs: Flower Mound, Lewisville, Dallas
FutureSightAustinworkable.com
The Opportunity
Compliance at U.S. RIAs, broker-dealers, and wealth fintechs still runs largely on manual review — analysts reading marketing materials line by line, scanning communications for keywords, and reviewing trades and trade requests...
Houstonicims.com
funding.
• Serve as an operational contact for financial professionals, broker-dealers, custodians, qualified intermediaries (QIs), and investors regarding investment transactions.
• Facilitate communication among investors, financial professionals, broker...
New York LifeRichardsontalentnest.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...
3 similar jobs: Dallas, Irving, Plano
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