- Raymond James Financial, Inc. (Dallas, TX)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 and Series 66 or the ability to obtain ... new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee… 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 ... in local civic organizations, fostering connections within the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA/SEC regulations, ensuring… more
- First National Bank of Omaha (Frisco, TX)
- …experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State ... in local civic organizations, fostering connections within the community. + ** Compliance & Ethics:** Uphold bank policies, laws, and FINRA/SEC regulations, ensuring… more
- Wells Fargo (Bee Cave, TX)
- …education. + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 , 9/10, and 66 examinations (or FINRA recognized ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- Truist (Dallas, TX)
- …management in the Wealth Brokerage/Advisory industry. 3. Financial Industry Regulatory Authority (FINRA) series 7 , 66 (or 63/65), 24, plus applicable Life & ... and maintaining a strong culture of risk management and compliance , delivering our Purpose-Driven Wealth Experience, and driving advisor retention/recruiting… more
- JPMorgan Chase (Webster, TX)
- …foster team culture **Required qualifications, capabilities, and skills** + A valid and active Series 7 license is required + If you were registered after ... and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and...Industry Essential (SIE) exam + A valid and active Series 66 (63/65), and Life and Health Insurance license… more
- Veterans Affairs, Veterans Health Administration (San Antonio, TX)
- …any synergistic, antagonistic, cumulative, potential overdoses and/or incompatibilities, compliance , anticipate side effects, toxicity and adverse effects. Provides ... be required to complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued dentification cards that… more
- Charles Schwab (Westlake, TX)
- …the Schwab strategy. Essential skills include: **Required Qualifications:** + **Active and valid FINRA Series 7 and 63 licenses required ** + **Active and valid ... FINRA Series 9/10 license is required ** + Understanding of...+ Notary preferred + Solid understanding of regulatory and compliance policies associated with brokerage business + Demonstrated experience… more
- USAA (Plano, TX)
- …maintenance or ability to acquire within 90 days of hire. + Required maintenance of FINRA Series 7 license. + Required maintenance of FINRA Series 66 (or 63 ... effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. **What you have:** + High School Diploma… more
- Wells Fargo (Dallas, TX)
- …following: work experience, training, military experience, education + Successfully completed FINRA Series 7 and 63 exams to qualify for immediate registration ... of the asset class, investment offerings, policies, procedures and compliance requirements + Collaborate and consult with peers, colleagues...1445 Ross AVE DALLAS, TX 75202 **Posting End Date:** 7 Sep 2025 **_*Job posting may come down early… more