• Senior Supervisory Control Specialist

    Wells Fargo (Bee Cave, TX)
    …to supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
    Wells Fargo (08/23/25)
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  • 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 (08/29/25)
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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 License…

    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 (08/19/25)
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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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  • Lead Compliance Officer - Regulatory Change…

    Wells Fargo (Irving, TX)
    **About this role:** Wells Fargo is seeking a **Lead Compliance Officer** to join the **Regulatory Change & Inventory Management (RCIM)** team within Wells Fargo ... . As part of the RCIM team, the Lead Compliance Officer 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 (08/28/25)
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  • Compliance Program Advisor - Capital…

    PNC (TX)
    …and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail Organization supporting the Risk, ... Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may...* Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred… more
    PNC (08/23/25)
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  • Relationship Banker

    Wells Fargo (Rowlett, 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 (08/30/25)
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  • Senior Premier Banker

    Wells Fargo (Rockwall, TX)
    …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008...recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized … more
    Wells Fargo (08/29/25)
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