FINRA Jobs in Houston
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Houstonicims.com
compliance interviews, as part of annual Financial Representative reviews.
• Maintain required books and records for Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA.
• Review and approve outside...
Houstontiptopjob.com
and regulatory trends
• Exceptional communication, influencing, and stakeholder management skills
• Demonstrated expertise in commercial lending and risk assessment
• Licensed Registered Representative, FINRA Series 79, 63 and SIE mandatory, will allow...
Houstonicims.com
FINRA Series 6 or 7
• FINRA Series 63 or 66
• FINRA Series 24
Benefits
Northwestern Mutual Houston is committed to building a team that loves what they do and creating a work environment that supports long-term career growth. The compensation package...
Horace MannStafford (TX), 6 mi from Houston
Qualifications & Experience
• High School Diploma or equivalent required; 1–2 years of college preferred.
• 1–2 years of experience in retirement services operations or financial services industry.
• FINRA Series 6/63 licenses strongly required.
• Strong...
Houstonicims.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...
Houstonicims.com
skills with the ability to interact professionally with financial professionals, investors, and external partners.
• Ability to thrive in a fast-paced environment with strict deadlines and transaction-sensitive workflows.
• Ability to obtain FINRA...
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