- Navy Federal Credit Union (North Richland Hills, TX)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account ... ensuring documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies. + Prepare standard/special reports… more
- Charles Schwab (Westlake, TX)
- …have** **Required background and experience:** + Bachelor's Degree is required + Active and valid FINRA Series 7 + Active and valid FINRA Series 63 + Active and ... valid FINRA Series 8 (9/10) + 10+ years' experience in financial services focused on supervisory, risk, control, or compliance. + 10+ years' experience in managerial or executive positions, with increasing scope and complexity of responsibility. + Superior… more
- TIAA (Frisco, TX)
- …our coalition of champions. This is a Financial Industry Regulatory Authority ( FINRA ) Registered role that is primarily responsible for taking inbound calls, ... can even receive funding, coaching and support to pass FINRA Series 6 or 7 and 63 certification exams...Equivalent Experience Preferred **Work Experience** + No Experience Required ** FINRA Registrations** + SRC Indicator: Series 6 or 7;… more
- Wells Fargo (Houston, TX)
- …of leadership or involvement in professional or academic initiatives **Licensing Requirements** FINRA registration for SIE, Series 63 (or 66), and Series 79 must ... Yearly Washington, DC: $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- JPMorgan Chase (Plano, TX)
- …with urgency. **Required qualifications, capabilities, and skills:** + A valid and active FINRA Series 7, 66 (or equivalent) is required + A valid and active ... FINRA Series 9/10 (or equivalent) is required + Proven track record leading a team of advisors + Proven ability to recruit, source and attract internal and external… more
- Charles Schwab (Westlake, TX)
- …Financial Planning-related designation + CFP(R) designation is required. + Active and valid FINRA Series 7 license required. + Active and valid FINRA Series ... 63/65 or 66 required + Bachelor's degree required. + Minimum of 5 years financial services experience in addition to 2 years Financial Planning experience + Passion for financial planning to help clients manage their financial futures and build stronger… more
- Alight (TX)
- …. **Alight is Looking for a Licensed DC Customer Solutions Specialist** **_( FINRA Series 6 or 7 is required)_** This role requires that qualified ... guidance on qualified and non-qualified retirement plan benefits. **Requirements** + Possess FINRA Series 6 or 7. Series 63/65/66 a plus. + Demonstrate Defined… more
- PNC (Mansfield, TX)
- …may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Life and Health ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Wells Fargo (Irving, TX)
- …does not offer VISA sponsorship + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Guardian Life (Austin, TX)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of state… more