FINRA Jobs in Garland
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New York LifeGarlandtalentnest.com
of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals. You’ll also be able to specialize and gain expertise in different areas...
Storm2Dallas, 11 mi from Garland
serving as the principal liaison with FINRA, the SEC, state regulators, exchanges and other regulatory authorities.
This is a hands on leadership role requiring both strategic direction and operational execution. You will oversee General Compliance, AML...
New York LifeGarlandtalentnest.com
such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered...
USAAPlano, 10 mi from Garland
or ability to acquire within 90 days of hire.
• Required maintenance of FINRA Series 7 license.
• Required maintenance of FINRA Series 66 (OR BOTH 63 and 65) license.
• Must be able to successfully pass background check and meet all USAA and regulatory...
New York LifeGarlandtalentnest.com
such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered...
Cetera Financial Group, Inc.Dallas, 11 mi from Garland
workflow management, issue tracking, data integrity, and reporting-enabling riskbased product decisions while ensuring alignment with regulatory expectations (e.g., FINRA, SEC) and internal policies.
What You Will Do:
• Operational Oversight & Execution...
New York LifeGarlandtalentnest.com
such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered...
moomooDallas, 11 mi from Garlandworkable.com
Inc.: An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services globally.
• Moomoo Financial Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets...
New York LifeGarlandtalentnest.com
but not required to apply:
• Life and Health License
• FINRA registrations; Series 6 or 7 and Series 63
• Previous sales experience
Why New York Life?
From quality training programs to a competitive compensation package, New York Life offers tremendous support...
New York LifeDallas, 11 mi from Garlandtalentnest.com
of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals. You’ll also be able to specialize and gain expertise in different areas...
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