Finra jobs in Dallas, TX

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Compliance Examiner - Member Regulation, Sales Practice - Da...
Finra 25 reviews - Dallas, TX
All told, FINRA oversees. FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers....
Sponsored by Finra - 18 hours ago
Compliance Examiner - Member Regulation, Sales Practice - Da...
Financial Industry Regulatory Authority (FINRA) 7 reviews - Dallas, TX
FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers....
Sponsored by diversityjobs.com - 4 hours ago
Auditor Consumer\ Retail
Citi 2,423 reviews - Irving, TX
Experience auditing OCC, Fed and/or FINRA regulated businesses and exposure to consumer deposit, lending and/or investment products is a plus....
Sponsored by Citi - 30+ days ago

Compliance Consultant Specialist

1st Global Capital Corp. - Dallas, TX
Must have general knowledge of the FINRA and SEC regulations and general broker-dealer operations. The Compliance Consultant reviews and approves Advisors’...

Project Assistant – Compliance

Behringer 2 reviews - Addison, TX
The primary responsibility is to assist the compliance department personnel with administering day-to-day compliance requirements as mandated by the SEC, FINRA...

Compliance Examiner - Member Regulation, Sales Practice - Da...

Finra 25 reviews - Dallas, TX
All told, FINRA oversees. FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers....

Retirement Specialist

Lincoln Financial 35 reviews - Dallas, TX
FINRA Series 6 and 63 or 66 registrations required within 60 days. About The Company....

Entry Level Financial Advisor

Mutual of Omaha - Arlington, TX
As a Financial Advisor with Mutual of Omaha Financial Advisors, your goal is creating, maintaining, and protecting the financial stability for your clients.
Easily apply

Margins Analyst

Apex Clearing - Dallas, TX
Demonstrates understanding of FINRA rules/regulations. The Margins Analyst will gain or build upon a basic knowledge of margin functions and regulations ...

Compliance Consultant (617-10)

Brokerage Consultants Inc. - Dallas, TX
Materials to ensure it meets applicable FINRA standards. Activities for compliance with the various state, FINRA, and federal....
Easily apply

Team Manager - Field Services

National Life Group 15 reviews - Addison, TX
FINRA Series 6 and 26 or successful completion within one year. Incum bent will be responsible for overseeing the contracting operational activities in the...
Easily apply

Regional Vice President, Insured Solutions Group- Central So...

AIG 456 reviews - Dallas, TX
FINRA Series 6, 63 and state life and health licenses. Regional Vice President- Insured Solutions Group....

Director, Regulatory Principal & Operations

1st Global Capital Corp. - Dallas, TX
This position is a Management role responsible for all activities related to the proactive and strategic development of programs to improve the operational
Compliance Advertising Analyst- Remote
Cambridge Investment Research 8 reviews - United States
FINRA Series 7 license and Series 24 licenses are preferred and should be obtained within 6 months of placement....
Easily apply
Sponsored by Cambridge Investment Research - 27 days ago
Financial Advisor
First Command Financial Services, Inc. 36 reviews - Plano, TX
(Member SIPC , FINRA ), First Command Insurance Services, Inc. First Command Financial Services is committed to helping military families get their financial...
Sponsored by First Command Financial Services, Inc. - 15 days ago

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Company with Finra jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.