FINRA Jobs in Austin
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Equitable AdvisorsAustin
entrepreneurial spirit with a desire to positively impact others' lives
• Collaboration: ability to work with and learn from top performers
• Work Authorization: must be authorized to work in the United States
Training & Development
• FINRA Sponsorship: provided...
InvescoAustinmindmatch.ai
required; MBA or advanced degree preferred; FINRA registrations required (7, 63) and relevant certifications (e.g., CTP, CFA, CFP) a plus.
The salary range for this position is $160,000 to $185,000/ year. The total compensation offered for this position...
Platinum Legal Search Group, LLCAustin
Regulatory enforcement (SEC, DOJ, FINRA, CFTC, state AGs)
• Internal investigations and compliance matters
• Trade secrets, unfair competition, and business torts
• Appellate litigation and trial strategy
Who They’re Looking For
The firm is seeking partners...
Benchmark InternationalAustintrinethire.com
associate license within 7 months of employment (For employment in our Texas office).
• Have no unfavorable history with FINRA, the SEC, or any state regulatory agency.
• Be able to work in the office, Monday-Friday, as this is not a remote or hybrid...
FutureSightAustinworkable.com
FutureSight is hiring an experienced and visionary Founding CEO to lead the launch of a new AI Compliance venture serving SEC- and FINRA-regulated firms. Today, compliance teams at RIAs and broker-dealers spend countless hours manually reviewing...
New York Life - Austin, TexasAustintalentnest.com
the previous 24 months
-or-
• Prior management or business owner experience
Preferred but not required to apply:
• Life and Health License
• FINRA registrations; SIE, Series 6 or 7
• Previous sales experience
Why New York Life?
From quality training...
Austinicims.com
a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals...
Austintiptopjob.com
environment.
• Self:directed and self:motivated individual.
• Good knowledge of Microsoft Office; experience with portfolio accounting systems, CRMs and trade rebalancing software.
• May carry FINRA licensure.
BOK Financial Corporation Group
is a stable...
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