Finra jobs in Dallas, TX

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Financial Sales/ Sales Management/Investments
New York Life Insurance Company - Dallas, TX
FINRA Series 7, Series 6/63 a plus (company sponsorship available). New York Life Dallas General Office is seeking motivated, ambitious individuals with...
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Sponsored by New York Life Insurance Company - 22 days ago
Managing Principal
Lincoln Financial 31 reviews - Dallas, TX
Part Time : No Description About The Company Lincoln Financial Group is a Fortune 500 company offering a diverse range of financial services and solutions....
Sponsored by Lincoln Financial Group - 30+ days 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 - 9 days ago

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....

Administrative Manager, Merrill Edge Supervision and Control...

Bank of America 9,980 reviews - Dallas, TX
Must have FINRA Series 7, 63, 65, and 9/10 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following...

Compliance Consultant

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’...

Investment Services Representative-Licensed

USAA 419 reviews - Addison, TX
Active FINRA Series 65. FINRA 63 or 66 (or 63 and 65). We are currently seeking talented Licensed Investment Services Representative for our Addison, Texas call...

Chase Private Client Investment Associate - Dallas, Texas

JPMorgan Chase 6,283 reviews - Dallas, TX
Preferred Series 7, Series 63 and 65 or Series 66 registration and the appropriate state Group 1 - Life and Variable Annuity License in addition to meeting...

Financial Consultant Assistant - Southlake

Charles Schwab 255 reviews - Southlake, TX
Active and valid FINRA Series 7 and 66 (may be obtained within 120 days of employment). We believe that , when done right, investing liberates people to create...

Managing Sales Director I

MetLife 960 reviews - Dallas, TX
Appropriate licensing and FINRA registration:. Acts as a FINRA supervising principal as delegated by Market Leader/Managing Director/ Partner when managing a...

Sr. Risk Specialist

Federal Reserve Bank of Dallas 250 reviews - Dallas, TX
Establish appropriate relationships with SLHC/BHC/bank/thrift management responsible for overseeing broker-dealers, with management of the broker-dealers, and...

Managing Principal

Lincoln Financial 31 reviews - Dallas, TX
Part Time : No Description About The Company Lincoln Financial Group is a Fortune 500 company offering a diverse range of financial services and solutions....

Brokerage Services Manager - Client Services (13121)

New York Life Insurance Co 624 reviews - Dallas, TX
FINRA Series 7, 63 & 24 required. Must obtain FINRA Series 53 and 4 within 1 year. New York Life Insurance Company (“New York Life”) is the largest mutual life...
Compliance Examiner - Member Regulation, Sales Practice - Da...
FINRA 25 reviews - Dallas, TX
FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers....
Sponsored by TweetMyJobs.com - 10 days ago
Financial Advisor
First Command Financial Services, Inc. 33 reviews - Irving, 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. - 30+ days ago

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Company with Finra jobs
33 reviews
First Command Financial Services assists clients in their pursuit of financial security through investments, insurance and banking products.