Finra jobs in Dallas, TX

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Compliance Officer - Broker/Dealer
Williams Financial Group - Dallas, TX
FINRA License 53 preferred. Assist with FINRA audits, as instructed. Provide compliance expertise by reviewing reports and documentation to ensure adherence to...
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Sponsored by Williams Financial Group  - 5 days ago
Financial Services Consultant, Fast Track
TIAA-CREF | Financial Services® - Dallas, TX
Ability to be nationally FINRA Registered and State Insurance Licensed by the end of three month training program required....
Sponsored by Brokerhunter.com  - 6 days ago
Entry Level Financial Advisor
Mutual of Omaha 165 reviews - Dallas, TX
As a Financial Advisor with Mutual of Omaha Financial Advisors, your goal is creating,maintaining, and protecting the financial stability for your clients.
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Sponsored by Mutual of Omaha  - 18 days ago

Client Services Representative

Apex Clearing - Dallas, TX
FINRA Series 7 (or obtained within 90 days of hiring. Demonstrates understanding of FINRA rules/regulations, such as Regulation T, Reg SHO, Rule 4210 etc....

Compliance Officer - Broker/Dealer

Williams Financial Group - Dallas, TX 75204(M Streets area)
FINRA License 53 preferred. Assist with FINRA audits, as instructed. Provide compliance expertise by reviewing reports and documentation to ensure adherence to...
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Chief Financial Officer

Apex Clearing - Dallas, TX
The ideal candidate has extensive experience as the senior financial executive in a clearing firm or a FINRA regulated financial business and has a credible,...

Financial Advisor - Dallas, Texas

AIG 404 reviews - Dallas, TX
Active FINRA Series 6 or 7 license and Series 63 and 65, or 66 license(s). At VALIC, our Financial Advisors assist clients in the education, healthcare and...

Financial Services Consultant, Fast Track

TIAA-CREF 225 reviews - Dallas, TX 75202(City Center District area)
Ability to be nationally FINRA Registered and State Insurance Licensed by the end of three month training program required....

MMS Rollover Specialist

TIAA-CREF 225 reviews - Lewisville, TX 75077
FINRA Series 6 and 63 licenses required. FINRA Series 7 preferred or passage of exam within 90 days of starting role....

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 Examiner/Specialist

1st Global Capital Corp. - Dallas, TX
Must have general knowledge of the FINRA and SEC regulations and general broker-dealer operations. The Compliance Department is responsible for reviewing all...

Personal Financial Advisor I

GuideStone 2 reviews - Dallas, TX
CFP preferred, exempts FINRA license 65. FINRA license 6 (or 7), 63 and 65 (or 66) required . The Personal Financial Advisor position will advise clients, sell...

Customer Relations Specialist I - Retirement

GuideStone 2 reviews - Dallas, TX
Knowledge of IRA's and Personal Investments only when licensed through FINRA. Ability to pass or already have obtained the FINRA Series 6 and 63, or equivalent....
Compliance Director (Direct Real Estate and Real Estate Secu...
Invesco 64 reviews - Dallas, TX
FINRA Series 7, 63, and 65 preferred. Is a leading independent global investment management firm, dedicated to helping investors worldwide achieve their...
Sponsored by Invesco  - 30+ days ago
Auditor Consumer\ Retail
Citi 2,549 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

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Company with Finra jobs
Mutual of Omaha is a leading provider of life insurance, Medicare supplement insurance, disability insurance products and annuities.