Finra jobs in Dallas, TX

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Compliance Field Auditor - National Audit Services
Accuity - Dallas, TX
with securities industry auditing experience is preferable. * Familiarity with FINRA, SEC and state securities regulations, as well as knowledge of regulations...
Easily apply
Sponsored by Accuity - 21 days ago
Financial Solutions Advisor
USAA 320 reviews - Addison, TX
perm-life and annuities based on individual needs. Licenses: • FINRA 7 • FINRA 63 • FINRA 66 or 63 and 65. Preferred Bachelor's degree. CFP. CFC. Chartered Life...
Sponsored by USAA - 30+ days ago

(Senior) Retirement Services Representative (TX)

Securian - Dallas, TX
audiences effectively. Maintaining credentials, i.e. life/variable life licenses, FINRA Series 6 & 63, AIF and other needed industry training. What we'd expect... $52,000 - $70,000 a year
5 days ago - save job - block - email - more...

Customer Relations Specialist I

GuideStone - Dallas, TX
with a finance major preferred. Ability to pass or already obtained the FINRA Series 6 and 63 or equivalent. CEBS, CFP, or CRPC certification preferred...
2 days ago - save job - block - email - more...

Benefits Service Representative

Milliman, Inc. - Dallas, TX
or investment planning experience preferred ASPPA, CEBS designation, or NASD/FINRA licensing is a plus Bilingual – English/Spanish fluency is a plus ABOUT...
2 days ago - save job - block - email - more...

Brokerage Services Representative

New York Life 460 reviews - Dallas, TX
business needs. Bachelor's Degree or equivalent work experience Series 7 & 63 FINRA licenses (must pass license exams within 120 days) Excellent verbal and...
5 days ago - save job - block - email - more...

Compliance Examiner

SWS Group Inc. - Dallas, TX
in business, or equivalent of two years financial service industry experience FINRA Series 7 and 63 required, with expectation to obtain Series 24. Series 4 and...
20 days ago - save job - block - email - more...

Computer Operator

SWS Group Inc. - Dallas, TX
the U.S. and Canada. Southwest Securities, Inc., is a member of the NYSE, FINRA and SIPC. SWS Group is an Equal Opportunity Employer. Southwest Securities...
7 days ago - save job - block - email - more...

Financial Advisor - Chase Wealth Management - Dallas, TX (Pr...

JPMorgan Chase 4,790 reviews - Dallas, TX - +1 location
with state insurance and securities regulators, FINRA, the SEC, JP Morgan Securities LLC and JPMorgan... in addition to meeting FINRA continuing education...
4 days ago - save job - block - email - more...

Government Reporting Coordinator

SWS Group Inc. - Dallas, TX
the U.S. and Canada. Southwest Securities, Inc., is a member of the NYSE, FINRA and SIPC. SWS Group is an Equal Opportunity Employer. Government Reporting...
13 days ago - save job - block - email - more...

Director Document Services and Fulfillment Center

1st Global Capital Corp. - Dallas, TX
to remain compliant with FINRA regulations. The... and procedures to remain compliant with SEC and FINRA regulations. Both the document processing and...
19 days ago - save job - block - email - more...

Human Resources Administrative Coordinator

SWS Group Inc. - Dallas, TX
across the U.S. and Canada. Southwest Securities, Inc., is a member of the NYSE, FINRA and SIPC. SWS Group is an Equal Opportunity Employer. Responsibilities...
8 days ago - save job - block - email - more...
Experienced Licensed Broker
Grand Energy, Inc. - Addison, TX
oil and natural gas production and development company, we are a licensed FINRA securities firm with impeccable credentials seeking to expand our operations to...
Easily apply
Sponsored by Grand Energy, Inc. - 2 days ago
Specialized Investment Services Representative-Unlicensed
USAA 320 reviews - Addison, TX
of FINRA Series 7 license. Required acquisition (within 90 days of job entry) and maintenance of FINRA... Bachelor's Degree. FINRA Series 6 & 63 License. Life...
Sponsored by USAA - 30+ days ago
Investment Consultant Plano TX
TD Ameritrade 79 reviews - Plano, TX
We value diversity and offer a quality workplace. TD Ameritrade, Inc. member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD...
Sponsored by TD Ameritrade - 7 days ago

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