- TIAA (Dallas, TX)
- …Requirements** + University (Degree) Preferred **Work Experience** + 5+ Years Required; 7 + Years Preferred ** FINRA Registrations** + SRC Indicator: Series ... + Minimum 5 years of experience in wealth management or financial services + FINRA registrations: Series 7 and either Series 66 or both Series 63 and 65 + Series… more
- Navy Federal Credit Union (North Richland Hills, TX)
- …and/or internal audits. + Perform other duties as assigned or appropriate Qualifications + FINRA Series 7 and combination of NASAA Series 63/65 or 66 ... account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account… more
- JPMorgan Chase (Plano, TX)
- …investment strategies and products, proficiency in trading platforms, Microsoft Office software, + FINRA Series 7 , 66 (or equivalent), life and health insurance, ... and energizing the team, ensuring they maintain expertise in FINRA rules and Department of Labor standards. By fostering...9/10 (or equivalent), and meeting FINRA continuing education requirements. Chase is a leading financial… more
- JPMorgan Chase (San Antonio, TX)
- …Retirement Accounts (IRAs), managed (wrap) accounts, and employee benefit programs required + FINRA Series 7 , 63 (or equivalent) required, and ability to hold ... Our current target operating hours are Monday - Friday, 7 am - 8 pm CST and Saturday, ...registration in all 50 states and territories + FINRA Series 9/10 (or equivalent), required or must obtain… more
- Charles Schwab (Westlake, TX)
- …(eg, CFP, CFA, MBA, CHFC, CPWA) highly preferred **Required Qualifications** + Active & valid FINRA Series 7 license required + Active & valid FINRA Series ... & Health insurance (or may be obtained within 90 days of employment) + 7 + years financial services industry experience + 2+ years Ultra- HNW client experience… more
- Charles Schwab (Westlake, TX)
- …you have:** Required Qualifications: + Bachelor's degree + CFP(R) designation + Active and valid FINRA Series 7 license + Active and valid FINRA Series 63/65 ... our clients' financial lives. As Fiduciaries, we bring expertise across Schwab's 7 Wealth Management topics in conjunction with powerful technology to inspire… more
- JPMorgan Chase (San Antonio, TX)
- …or former employee of the Service Center or Segmented Services Group to be considered + FINRA Series 7 and 63 (or equivalent) required, in addition to meeting ... exception approvals. Our current target operating hours are Monday-Friday 7 am - 8 pm CST, and Saturdays 8...FINRA continuing education requirements. + Strong compliance record prior… more
- US Bank (Dallas, TX)
- …of experience in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and 63/65 combination ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- JPMorgan Chase (Houston, TX)
- …+ Motivated and independent worker with a sense of urgency and results focused + FINRA 7 and 66 (or 63 & 65) required + Active Life & Health insurance license ... Preferred Qualifications, Skills and Capabilities: + Bachelor's degree strongly preferred or equivalent work experience JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses… more
- First National Bank of Omaha (Plano, TX)
- …experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State ... within the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it applies… more
Recent Jobs
-
Housekeeping Supervisor
- Atrium Hospitality (Norfolk, VA)
-
Full-Time Loss Prevention Supervisor
- Kohl's (Aurora, CO)
-
Senior Lean Specialist
- JE Dunn Construction Company (Nashville, TN)
-
Principal Auditor (Experienced Senior Auditor), Consumer Lending Audit (Hybrid)
- Capital One (Richmond, VA)