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Finra jobs - Dallas, TX

Viewing 1 - 2 of 2 jobs

  • OSJ Regional Supervisor

    Dallas, TX

    of five years compliance and/or supervisory experience.FINRA Series 3, 4, 7, 24, 31, 53, 63 and 65/66 registrations ... appropriate insurance securities certifications. Minimum: FINRA Series 7, 24 and 63.Strong knowledge of financial...

    1 day ago from IvyExec

  • OSJ Manager

    Plano, TX

    of compliance, suitability issues, securities products and FINRA regulations. Facilitation and training experience. Strong computer skills required, including solid ability using MS Outlook, MS Word, and MS EXCEL, as well as other internal...

    5 days ago from IvyExec

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