• Senior Compliance Analyst - Park Avenue…

    Guardian Life (Austin, TX)
    …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with… more
    Guardian Life (06/14/25)
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  • Retirement Service Representative ( Finra…

    ADP (Dallas, 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...and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the… more
    ADP (07/18/25)
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  • Simple IRA Specialist ( FINRA Licensed…

    ADP (El Paso, TX)
    …benefits administration and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the difference in ... long, proud history of conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our people to uphold our… more
    ADP (07/30/25)
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  • Financial Advisor

    First National Bank of Omaha (Plano, TX)
    …the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
    First National Bank of Omaha (08/02/25)
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  • Financial Advisor - Plano

    First National Bank of Omaha (Frisco, TX)
    …the community. + ** Compliance & Ethics:** Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
    First National Bank of Omaha (06/07/25)
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  • JP Morgan Wealth Management - Escalation Lead

    JPMorgan Chase (San Antonio, TX)
    … Series 7 and 63 (or equivalent) required, in addition to meeting FINRA continuing education requirements. + Strong compliance record prior to position(s) ... and ability to hold a registration in all 50 states. + Excellent telephone communication skills and articulation of speech, displaying a high level of professionalism. + Ability to adapt conversations to meet the needs of a diverse client base across all 50… more
    JPMorgan Chase (07/30/25)
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  • Compliance Supervisor - Navy Federal…

    Navy Federal Credit Union (North Richland Hills, TX)
    …review of any related communication, reports, presentations, materials utilized for compliance purposes. Supervise compliance related activities performed by ... registered representatives at NFIS, LLC member FINRA /SIPC and an SEC Registered Investment Advisory Firm as well as activities through NFIS online offerings. Provide… more
    Navy Federal Credit Union (07/30/25)
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  • Relationship Banker LP Lubbock 50th and Quaker

    Wells Fargo (Lubbock, TX)
    …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA … more
    Wells Fargo (08/01/25)
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  • Compliance Specialist - Implementation…

    Wells Fargo (Irving, TX)
    **About this role:** Wells Fargo is seeking a Compliance Specialist for the Implementation and Monitoring team as part of Corporate Compliance Regulatory Change ... this role, you will:** + Follow risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.… more
    Wells Fargo (08/01/25)
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  • Senior Compliance Specialist

    Wells Fargo (Irving, TX)
    **About this role:** Wells Fargo is seeking a Senior Compliance Specialist to join the Regulatory Change & Inventory Management (RCIM) team within Wells Fargo ... . As part of the RCIM team, the Senior Compliance Specialist will lead several critical tasks required to...for Visa sponsorship + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing… more
    Wells Fargo (07/31/25)
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