- Microsoft Corporation (Dallas, TX)
- …experience. + Experience with Compliance regulations in financial services such as FINRA , DORA, EU AI Act and other regulations + Experience with Financial ... and Consumer Banking + Experience with Compliance regulations in financial services such as FINRA , DORA, EU AI Act and other regulations + Knowledge of Generative AI… more
- Principal Financial Group (Dallas, TX)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 6 or equivalent and FINRA Series 63). + ... Resident Life and Health appointment must be attained. **Salary Range Information** Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales… more
- Wells Fargo (Irving, TX)
- …not eligible for Visa sponsorship. + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... 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
- Charles Schwab (Westlake, TX)
- …planning capabilities. **What you have** + CFP(R) designation required + Active and valid FINRA Series 7 license required + Active and valid FINRA Series 63/65 ... or 66 license required + Minimum 3+ years' experience with creating and presenting complex/comprehensive financial plans + In-depth knowledge and demonstrated sales skills to close and sell financial planning services + Proven ability to manage multiple tasks… more
- Edward Jones (Temple, TX)
- …be obtained at Edward Jones during the assigned paid study period. + FINRA registrations required within three months. State insurance licenses will be required. + ... are required to complete ongoing training offered by the firm and regulatory authorities ( FINRA and SEC), as well as required CE training to ensure licenses remain… more
- Athene (TX)
- …experience required. + Knowledge of Fixed Annuity and RILA Marketplace. + Life & Health, FINRA Series 7 and Series 63 licenses. Must have or obtain FINRA ... Licensing (Series 6) within 6 months of employment. + Proven track record in growing a region as measured by sales results. + Demonstrated sales acuity and presentation skills. + Travel Required (75%). + Ability to adapt to constant changing environment. +… more
- PNC (TX)
- …should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred for this role and/or public ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Dallas, TX)
- …security, and compliance principles within the financial industry (eg, SEC, FINRA , GDPR, CCPA). * Familiarity with data architecture, data pipelines, analytics ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… 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 the financial services industry and/or securities industry + 2+ years in a client service capacity… more
- Truist (Westlake, TX)
- …set forth by Truist, the Financial Industry Regulatory Authority ( FINRA ), and other regulatory bodies. QUALIFICATIONS Required Qualifications: The requirements ... professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health and life insurance licenses,… more