- Bank OZK (Dallas, TX)
- …training and education on fiduciary standards such as ERISA, UPMIFA, and SEC/ FINRA rules for staff members. + Ensure fiduciary compliance for all institutional ... accounts and plans. + Chair or participate in internal committees related to plan governance, investment selection, and performance review. + Maintain alignment with the Bank's Trust Committee policies and procedures. + Performs other duties as assigned.… more
- Ally (Austin, TX)
- …to fraud prevention in the financial services industry, including knowledge of SEC, FINRA , and banking regulations * Preferred licensing: Series 7, Series 24, or ... equivalent regulatory certifications. * Exceptional strategic thinking and problem-solving skills. * Excellent communication and interpersonal skills, with the ability to influence and collaborate with stakeholders at all levels. * Proven ability to develop… more
- ADP (El Paso, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities...degree preferred, or equivalent of experience and education + FINRA Series 6 and 63 securities licenses and Securities… more
- Wells Fargo (Irving, TX)
- …+ 3+ years of ESOP related sales or advisory experience + Successfully completed FINRA Series 63 and Series 79 exam to qualify for immediate registration (or ... FINRA recognized equivalents) + Completion of formal credit training...+ Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this… more
- Wells Fargo (Addison, TX)
- …and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Allen, TX)
- …banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Houston, TX)
- …several assignments, time management and prioritization skills **Job Expectations:** + Registration for FINRA SIE must be completed within 90 days of hire date if it ... is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 90 days of… more
- Insight Global (Dallas, TX)
- …the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority ( FINRA ). The Deputy CCO will play a key role in ensuring that the ... program under the Investment Advisers Act of 1940 and applicable FINRA rules. *Monitor and interpret regulatory developments affecting private funds, broker-dealers,… more
- Charles Schwab (Westlake, TX)
- …+ Bachelor's degree or equivalent or equivalent work related experience + Active and valid FINRA Series 7 license is required + Active and valid FINRA Series ... 120 day condition of employment) + Active and valid FINRA Series 66 (63/65) license is required + Active...day condition of employment) + A valid and active FINRA Series 24 is preferred + Additional designations are… more
- Equitable (San Antonio, TX)
- …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... it takes you to complete the company sponsored required FINRA licenses and registrations and enter PEP + **Base...social impact and community engagement. Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN)… more
