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Finra jobs - Dallas, TX

Viewing 1 - 8 of 13 jobs


    Adecco - Dallas, TX

    house maintenance policies and is in compliance with FINRA maintenance requirements, and notify offices of all ... Reserve Board Reg T, SEC rule 15c3-3 and NYSE Rule 431/FINRA 4210. Must possess strong math and computer skills.

    30+ days ago from Adecco Direct Placement

  • Asset Management - Global Wealth Management - Private Bank EHNW Group - Investment Specialist - ED/VP/Assoc

    JPMorgan Chase - Dallas, TX

    and brokerage relationships Conduct operations within FINRA and other regulatory agency guidelines and requirements Ability to communicate sophisticated investment strategies to all levels of clients and prospects Sales experience...

    25 days ago from JPMorgan Chase & Co

  • CORPORATE VICE PRESIDENT, Nautilus Advanced Planning

    New York Life Insurance Company - Addison, TX

    Knowledge: * Juris Doctor, required. * CLU, FINRA Series 7, 66, preferred. * Knowledge of the advanced market, including estate and gift transfer tax planning, business planning, qualified and non-qualified retirement planning, charitable...

    21 days ago from New York Life Insurance Company

  • Regional Sales Director - LFN

    Lincoln Financial Group - Dallas, TX

    degree or equivalent experience required * FINRA Series 6 or 7 required * Life and Annuity license required within 6 months of hire Experience * 3-5+ years of experience in financial services or insurance sales and marketing that directly...

    25 days ago from Lincoln Financial Group

  • Specialist WPS Marketing (106157-2)

    TD Ameritrade - Dallas, TX

    member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company and the Toronto-Dominion Bank. © 2014 TD Ameritrade IP Company, Inc. All rights...

    18 days ago from TD Ameritrade

  • Technology Audit Senior Analyst

    Fidelity Investments - Westlake, TX

    of the laws and regulations associated with SEC, FINRA, DoL, and ERISA regulated entities and the use of technology controls to meet these requirements. * Understanding of the risks associated with current and emerging technologies and the...

    14 days ago from Fidelity Investments

  • Senior Financial Advisor

    American National Bank of Texas - Rockwall, TX

    Advisor * Series 7 Financial Industry Regulatory Authority (FINRA) Registered Representative and 63 State licenses, ... Life, Accident & Health Insurance license. Preferred FINRA Series 65 or 66 registration. * Securities sales...

    4 days ago from American National Bank of Texas

  • Customer Service Representative – App Entry (28354)

    New York Life Insurance Company - Dallas, TX

    5 day cash calls as required by FINRA * Processes requests for cancellations and completes 15 day declinations Qualifications: * Associates, or Bachelor’s degree preferred, or equivalent years of related experience * Minimum 2 – 5 years of...

    12 days ago from New York Life Insurance Company