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Finra jobs - Dallas, TX

Viewing 1 - 10 of 21 jobs

  • Senior Risk Management Analyst

    Compliance Search International - Dallas, TX

    rm/coordinate annual CEO certifications. Necessary Qualifications: -7+ years of experience -Series 7, 24, 66 or equivalent -Prior supervisory experience preferred -Detailed knowledge of FINRA, SEC, DOL, IRA regulation Contact: Stacy...

    30+ days ago from Compliance Search Group

  • Manager - Client Services

    Principal Financial Group - Dallas, TX

    at least 2 years in a formal leadership position. * FINRA Series 6 registration may be required for Institutional and Dynamic market segments. * Requires excellent analytical, problem solving, communication, organizational/management,...

    22 days ago from Principal Financial Group

  • Qualified Plan Specialist

    AIG - Dallas, TX

    communication and presentation skills. At least series 6 FINRA securities license. Candidates can reside anywhere within the assigned region and must be able to travel 75% of the time throughout the region. About AIG American International...

    2 days ago from AIG

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

    JPMorgan Chase - Dallas, TX

    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 including:...

    30+ days ago from JPMorgan Chase

  • Asset Management - Emerging High Net Worth - Investment Assistant

    JPMorgan - Finance Industry - Dallas, TX

    activities, during peak time Qualifications • FINRA Series 7 required; must be able to obtain 63 shortly after hire • Bachelor's Degree or equivalent experience • A minimum of 3 - 5 years experience in the investment management or advisory...

    7 days ago from VelvetJobs

  • CORPORATE VICE PRESIDENT, Nautilus Advanced Planning

    New York Life Insurance Co - 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...

    7 days ago from New York Life Insurance Co

  • Field Compliance Principal

    Allstate - Irving, TX

    broker/dealer policies and procedures as well as applicable FINRA (Financial Industry Regulatory Association), SEC ... Compliance College degree in related field preferred. FINRA Registrations: Series 7 and 24 required Proficient in...

    17 days ago from InsuranceJobs.com

  • Customer Care Consultant

    Tiaa Cref - Lewisville, TX

    environment required. This position requires 6 & 63 FINRA registrations and state insurance licensing. Preferred Qualifications Bachelors’ Degree desired or a combination of education and additional work experience in a financial services...

    18 days ago from Tiaa Cref

  • Customer Care Consultant

    Tiaa-cref | Financial Services® - Lewisville, TX

    environment required. This position requires 6 & 63 FINRA registrations and state insurance licensing. Preferred Qualifications Bachelors' Degree desired or a combination of education and additional work experience in a financial services...

    18 days ago from BrokerHunter.com

  • Retirement & Institutional Services Business Development Officer II

    BB&T - Dallas, TX

    readily accept coaching and leadership from management 10. FINRA Series 65 registration or ability to obtain registration within six months Desired Skills and Competencies: 1. Demonstrated strong administrative and organizational skills...

    30+ days ago from BB&T