FINRA Jobs in Austin
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Thrivent Financial-Austin
mutual funds, and securities. FINRA Series 7, 63/65 or 66 required or obtained within 90 days, Series 24 preferred.State securities registered and insurance licensed and appointed in all states that comprise the Advisor Group.Once FAs are assigned...
Mutual of Omaha-Austin
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
Charles Schwab-Austin
in Spanish is a plus
• Active and valid Series 7 & 63 license is beneficial but not required
• If you are not licensed and would like to obtain FINRA licenses, we have outlined a path for you to pursue your career interests
What's in it for you
At Schwab...
Mutual of Omaha-Austin
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
Benchmark International CSS, L-Austin
no unfavorable history with FINRA, the SEC, or any state regulatory agency
Salary
The Lead Associate's on-target compensation is set to exceed $100,000 in the first year. This consists of an annual salary in the range of $50,000 to $72,000 plus commissions...
trinethire.com -
Mutual of Omaha-Austin
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
Austin
Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries...
icims.com -
Mutual of Omaha-Austin
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
Randstad-Austin
the quality of service provided to clients, such as reducing wait times or personalizing client interactions.
• Ensure that contact center operations adhere to regulatory requirements, such as those mandated by the SEC or FINRA.
• Collaborate with compliance...
randstadusa.com -
Austin
management industry, with a focus on broker-dealer operations preferred
• Bachelor’s degree or higher – Accounting, Finance or a related field. CPA preferred.
• Strong knowledge of GAAP, SEC and FINRA regulations
• Experience with financial systems - Sage...
icims.com -
Mutual of Omaha-Austin
attempts at Life and Health exam
• Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
• Highly self...
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