Finra jobs in Dallas, TX

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Director Annuity Suitability Review
National Life Group 10 reviews - Addison, TX
of securities and insurance products. Prefer knowledge of 403(b) and 457 FINRA Series 7 and 24, or Series 6 and 26 or successful completion within six months...
Sponsored by National Life Group - 16 days ago
Licensed Oil & Gas Investment Broker
Grand Energy, Inc. - Addison, TX
Qualifications for position: • Sales Experience • FINRA Series 7 or 22 License along with a Series 63 or... company, we are a licensed FINRA securities firm with... $250,000 a year
Easily apply
Sponsored by Grand Energy, Inc. - 25 days ago
Specialized Investment Services Representative-Unlicensed
USAA 333 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 - 6 days ago

Supervisory Principal

LPL Financial 74 reviews - Dallas, TX
Position is responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region. This position will...
8 days ago - save job - email - more...

Central Supervision Principal (Employee Activity Review)-Dal...

Bank of America 7,973 reviews - Dallas, TX
This is a FINRA regulatory supervisory principal position with the Central Business. Review Unit (CBRU). The CBRU assistswith the regulatory oversight for the...
16 days ago - save job - email - more...

Compliance Officer

Behringer - Addison, TX
Primary responsibility is to administer day-to-day compliance requirements as mandated by the SEC, FINRA and individual state laws....
16 days ago - save job - email - more...

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

JPMorgan Chase 5,012 reviews - Dallas, TX - +1 location
This position requires you to conform to legal and regulatory requirements and guidelines associated with state insurance and securities regulators, FINRA, the...
28 days ago - save job - email - more...

External Wholesaler Ed Jones\IP

Lincoln Financial 28 reviews - Dallas, TX
Education Undergraduate degree or 4+ years of comparable work experience required FINRA Series 6 and 63 required Life, Health License in all states within...
Lincoln Financial Group - 1 day ago - save job - email - more...

Financial Solutions Advisor

USAA 333 reviews - Addison, TX
We are currently seeking talented Financial Advisor for our Addison, TX call center. The start date for this position is Monday, November 3rd. Click on link...
10 days ago - save job - email - more...

Financial Services Representative

MetLife 744 reviews - Dallas, TX
Have or willing to obtain appropriate FINRA Registration and State Licensing:. Life/Health, Series 6/7, 65/66, 63 as applicable....
2 days ago - save job - email - more...

Financial Planner / Coach

First Command Financial Services, Inc. 26 reviews - Plano, TX - +1 location
First Command Financial Services is committed to helping American families get their financial lives squared away and pursue their goals and dreams through...
2 days ago - save job - email - more...

Senior Complex Risk Officer

Morgan Stanley 648 reviews - Dallas, TX
· Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. · Effective written and verbal communication skills....
21 days ago - save job - email - more...

Licensed Oil & Gas Investment Broker

Grand Energy, Inc. - Addison, TX 75001
FINRA Series 7 or 22 License along with a Series 63 or 66 required at time of hire. • Integrity and high moral character.... $250,000 a year
Easily apply
25 days ago - save job - email - more...
Compliance Examiner, Member Regulation - Dallas, TX
Financial Industry Regulatory Authority (FINRA) 7 reviews - Dallas, TX
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our... dealer executives and FINRA management, including...
Sponsored by diversityjobs.com - 15 days ago
Client Service Coordinator
HRCoach - Hurst, TX
adhere to rules and regulations as stated and required by Advisor and the FINRA * Ability to support and provide guidance for compliance within the Advisor’s... $15.00 - $16.50 an hour
Sponsored by HRCoach - 9 days ago

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