Finra jobs in Dallas, TX

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RIA Compliance Officer
Williams Financial Group - Dallas, TX
7, 24, 63 and 65/66 FINRA Registration. Current Series 7, 24, 63, and 65/66 FINRA Registrations. This position is responsible for managing the Corporate RIA...
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Compliance Officer ICG Compliance Metrics
Citi - 2,879 reviews - Irving, TX
FINRA registrations (e.g. DescriptionThe Compliance ICG Metrics Officer will work closely with the Directors of the functional areas and the surveillance...
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Entry Level Financial Advisor
AXA Advisors LLC Ft Worth, TX - Fort Worth, TX
$50,000 a year
AXA Advisors, LLC (NY, NY 212-314-4600) member FINRA, SIPC, is an Equal Opportunity Employer M/F/D/V. Build Your Career with Us*....
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Financial Services Consultant

TIAA-CREF - 272 reviews - Dallas, TX 75202 (City Center District area)
FINRA 6 and 63 registrations as well as state life insurance licenses can be acquired through our Academy program....

RIA Compliance Officer

Williams Financial Group - Dallas, TX 75204 (M Streets area)
7, 24, 63 and 65/66 FINRA Registration. Current Series 7, 24, 63, and 65/66 FINRA Registrations. This position is responsible for managing the Corporate RIA...
Easily apply

PCG Registered Client Assoc

Wells Fargo - 10,431 reviews - Arlington, TX
Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)....

Defined Contribution & Sub-Advisory Sales Executive

BNY Mellon - 1,336 reviews - Dallas, TX
FINRA Series 7 and 63 licenses in good standing. For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial...

Investment Services Representative-Licensed

USAA - 571 reviews - Addison, TX
Active FINRA Series 65. FINRA 63 or 66 (or 63 and 65). Find Your Purpose....

Strategic Relationship Manager

Voya Financial - 32 reviews - Addison, TX  +1 location
O Industry certifications and FINRA licensing preferred. The Strategic Relationship Manager (SRM) is a senior-level individual contributor responsible for Voya...

Regional Compliance Officer-Broker Dealer

Horace Mann Service Corporation - 33 reviews - Dallas, TX 75201 (City Center District area)
Be imposed by both FINRA and the SEC. FINRA Series 6 (or Series 7) and Series 26 (or. Regional Compliance Officer-Broker Dealer - In....

WBS Registered Client Assoc

Wells Fargo - 10,431 reviews - Dallas, TX
Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)....

Graduate/Undergraduate Intern, Member Regulation - Dallas, T...

Finra - 30 reviews - Dallas, TX
FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place...

Senior Compliance Analyst

Apex Clearing - 2 reviews - Dallas, TX 75201 (City Center District area)
The ideal candidate for this position should be experienced with FINRA, SEC and broker-dealer regulatory compliance....
PCG Operations Liaison
FINRA registration including Series 9/10 (or FINRA recognized equivalents). FINRA recognized equivalents will be accepted....
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