- Fidelity Investments (Roanoke, TX)
- …client facing team with asset and revenue goals a mustExperience running a line business with overall accountability for strategy implementation and P&L ... well as retirement recordkeepers, family offices, multifamily offices, wealthy families, broker - dealer firms, banks and insurance companies.The SVP Relationship… more
- JP Morgan Chase & Co. (Colleyville, TX)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... fostering a culture of diversity Build a book of business and deliver personalized investment solutions to your clients...in the near future or larger aspirations down the line . But our long-term investment philosophy doesn't just apply… more
- Bank of America Corporation (Fort Worth, TX)
- …the GB&GM test execution organization that provide risk management covering the broker dealer supervision regulatory requirement. EIT has established itself as ... role contributes to the identification of themes and trends at the front line unit, control function and enterprise level.The Testing Manager IC proactively manages… more
- National Life Group (Addison, TX)
- …business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker / Dealer and Registered Investment Adviser affiliate of National Life Insurance ... Director, Life New Business OperationsCompany Summary Come join one of America's...the earliest opportunity and mitigating actions are implemented, in line with change control processesIdentify, secure and manage project… more
- National Life Group (Addison, TX)
- …business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker / Dealer and Registered Investment Adviser affiliate of National Life Insurance ... period, providing real time feed-back as needed and protecting the bottom line of NLG.This individual may also underwrite after-issue policy change requests by… more
- National Life Group (Addison, TX)
- …clear ownership and beneficiary designations for life insurance policies as well as line of business and other in-force policy changes for annuities. This ... root cause of issues.Job Requirements3 - 5 years of business experience in the life and annuity industry preferred;...New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker / Dealer and Registered Investment Adviser affiliate of… more
- Federal Reserve System (Dallas, TX)
- …the strategy, risk management and controls, and financial performance of the broker / dealer and advisory services business line . You will also be ... for overseeing regulatory compliance with the supervised firm's core business lines, with focus on broker / dealer...firm's core business lines, with focus on broker / dealer and advisory services activities. You will… more
- US Bank (Irving, TX)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC...and credible challenge to support the development of effective business line control environments subject to compliance… more
- Charles Schwab (Westlake, TX)
- …tools to assist our business partners in analyzing the liquidity impacts of business decisions. We work with our second line partners to assist in the ... resolution and leadership skills; + Ability to translate complex business problems into discrete quantifiable components; + Knowledge of...of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel;… more
- Ascensus (Dallas, TX)
- …unique advantages. + Maintain strong working relationships with DCIO, TPA and Broker - dealer firms nationally to promote our solutions to Financial Professionals. ... the annual strategic budget, aligning resources across the organization to achieve top- line revenue objectives. + Participate in annual establishment of national and… more
- Bank of America (Fort Worth, TX)
- …the GB&GM test execution organization that provide risk management covering the broker dealer supervision regulatory requirement. EIT has established itself as ... the identification of themes and trends at the front line unit, control function and enterprise level. The Testing...system(s) of record required and is able to translates business strategy into work programs and processes. The Testing… more
- Bank of America (Dallas, TX)
- …matter expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in ... influence their careers + Ability to build a strong rapport with line of business management and provide impact without impairing independence + Ability to draft… more
