FINRA Jobs in Texas
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Search Results - FINRA Jobs in Texas
Financial Industry Regulatory Authority-Dallas
This is an exciting opportunity to join our Membership Application Program (MAP). MAP is a vital program within Member Supervision, supporting FINRA’s overall regulatory mission of investor protection and market integrity. MAP serves as the entry...
11 similar jobs: Boston, Rockville, Boca Raton, Los Angeles, Denver...
Pyramid Consulting, Inc-San Antonio
sales calls for Compliance; Review regulatory rules (NAIC, State, FINRA); Experience as a Life Insurance Agent; Reports.
Task-oriented.
Strong attention to detail.
Ability to review/listen to sales calls for compliance.
Knowledge of suitability...
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Financial Industry Regulatory Authority-Dallas
SVPs, and other Enforcement senior leaders on all facets of FINRA’s RSA relationships and services. This role is essential to Enforcement’s’ ability to effectively execute services on behalf of the RSA Exchanges.Essential Job Functions:Responsible...
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...
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Edward Jones-Tyler
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...
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Prospera Financial-Dallas
policies and procedures and comply with rules set forth by FINRA, SEC, and state/other regulatory agencies.
• Understand all facets of the Written Supervisory Procedures manual and consult with the firms Compliance department on any issue where additional...
mindmatch.ai -
Edward Jones-Dripping Springs
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...
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...
Edward Jones-Arlington
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-Murphy (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 -
IQ-EQ-Dallas
as broker-dealers or investment advisers with the appropriate regulatory bodies
Assist in conducting mock regulatory exams; as well as assist in providing SEC and FINRA exam support
Train staff on firm processes, new regulations or takeaways from industry...
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Charles Schwab-Dallas
write, and speak in Spanish.
• FINRA Series 7 and 63 licenses required OR a condition of employment to successfully obtain these licenses within the allotted training time.
Preferred Qualifications:
• Preferably 1-2 years of experience in Client...
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...
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Charles Schwab-Houston
write, and speak in Spanish.
• FINRA Series 7 and 63 licenses required OR a condition of employment to successfully obtain these licenses within the allotted training time.
Preferred Qualifications:
• Preferably 1-2 years of experience in Client...
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