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...
Easily apply
Sponsored by Williams Financial Group
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
Financial Advisor
First Command Financial Services, Inc. 37 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.

Client Services Rep, Pre On-Boarding Specialist

Apex Clearing - Dallas, TX
Finra Series 7 certification. Finra Series 99 required within 90 days. The Pre On-boarding/Implementation Specialist works to ensure a seamless transition of...

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...
Easily apply

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....

Client Services Rep, Apex Direct

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 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...

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....

Financial Advisor - Dallas, Texas

AIG 485 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...

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 ...

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...

Pension Administrator / Investment Specialist

NFP 8 reviews - Dallas, TX
Maintain FINRA compliance for our retirement division. Benefits in Odessa, TX is recruiting for a Pension Administrator / Investment Specialist ....
Easily apply
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
Auditor Consumer\ Retail
Citi 2,550 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

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