FINRA Jobs in Texas
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Search Results - FINRA Jobs in Texas
Edward Jones-Sugar Land
the assigned paid study period.
• FINRA registrations required within three months. State insurance licenses will be required.
• As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC...
moomoo-Dallas
An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.
Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets, ensuring...
resume-library.com -
USAA-San Antonio
RETIREMENT INCOME ONLY: Required maintenance of FINRA Series 7, 66 (or 63 and 65), 24, and 51 (or 53), and/or attainment within 90 days of job entry.
• 6 or more years of related experience in financial services operations to include process improvement...
Millennium Group-San Antonio
and transactions within agreed-upon SLOs and with a high degree of efficiency and effectiveness.
• Knowledge of suitability reviews/recommendations.
• Knowledge of regulatory requirements (NAIC, State, and/or FINRA).
• Effectively communicates findings...
resume-library.com -
Houston City Personnel-Houston
and investment management, to support branch initiatives and projects.
Qualifications:
Bachelor’s degree in business administration, Finance, or related field.
Active Series 24 license is required; additional FINRA licenses are a plus (e.g., Series 7, Series...
mindmatch.ai -
Edward Jones-Borger
the assigned paid study period.
• FINRA registrations required within three months. State insurance licenses will be required.
• As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC...
Santander Holdings USA Inc-Dallas
Experience: 5+ years of experience in technology compliance, IT risk management, or a related field within the financial services industry.
• Skills & Abilities
• Strong knowledge of regulatory frameworks (e.g., SOX, GDPR, FFIEC, FINRA, OCC) and industry...
Edward Jones-Mesquite
study period
• FINRA registrations are required within three months. State insurance licenses are also required
As an associate, you are required to complete all ongoing training offered by the firm and regulatory authorities FINRA and/or SEC
Complete...
Modern Woodmen of America-Amarillo
impact the lives of many.
Qualifications
Passion for bettering members’ financial lives.
Ability to obtain or already hold: an active life insurance license, FINRA securities registration (Securities Industry Essentials®/SIE), Series 6 and/or 7 license...
mindmatch.ai -
Fawkes IDM-Dallas
placements, and Regulation D offerings.
Conducting due diligence investigations in connection with prospective investments.
Preparing and filing required regulatory forms with the SEC, FINRA, and other regulatory bodies.
Providing legal and regulatory...
resume-library.com -
Cascadia-Austin
and capital raises experience for privately-held clients
• FINRA Series 79 and 63
• BA/ BS degree with demonstrated academic excellence
For All Cascadia Employees
Long-Term Client Focus: We take a long-term view with our clients and prospects. We build...
mindmatch.ai -
Edward Jones-Cypress (TX)
the assigned paid study period.
• FINRA registrations required within three months. State insurance licenses will be required.
• As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC...
New York Life-Allen (TX)
of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals. You’ll also be able to specialize and gain expertise in different areas...
talentnest.com -
Mutual of Omaha-Carrollton
gaining the skills and knowledge needed to excel.
• Obtain the required insurance licenses prior to starting the job, with up to two attempts allowed for the Life and Health exam.
• Pass the CRD/FINRA background check at hire and ongoing...
29 similar jobs: Grapevine, Dallas, Kennedale, Coppell, Desoto...
Fawkes IDM-Dallas
placements, and Regulation D offerings.
• Conducting due diligence investigations in connection with prospective investments.
• Preparing and filing required regulatory forms with the SEC, FINRA, and other regulatory bodies.
• Providing legal and regulatory...
jobvertise.com -
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