FINRA Jobs in Leander (TX)
- Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
- Highly self-motivated...
as a Managing Director of Compliance, you will have the opportunity to progress into the CCO role. Candidates should possess extensive knowledge of FINRA and SEC Rules and Regulations, have leadership experience, and preferably hold a legal and/or business...
- Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
- Highly self-motivated...
will sponsor your pursuit of the FINRA licensing requirements as well as help you navigate state licensing needs.
Our entry level training curriculum is designed to empower you with the skills and tools needed for success: client relationship management...
- Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
- Highly self-motivated...
Current license to sell life and health insurance products or the ability to obtain a license in a reasonable amount of time and/or FINRA licenses where required.
Ability to organize, motivate, and direct a geographically separate staff.
Ability...
- Must pass the CRD/FINRA background check at hire and ongoing, as the training program criteria requires Financial Representatives to obtain securities licensing within 24 months of entry into the program.
- Highly self-motivated...
- Experience with MS Excel and Word, and the internet, required.
- Experience with a financial planning software program(s) preferred.
Certificates, Licenses, Registrations:
- Required: FINRA Series 7/66, or 63/65...
or General Equivalency Diploma required. Active Group 1 Life & Health license Active, in good standing, and maintained FINRA 7 license Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license Must be able to successfully pass background...
license
- No personal history of enforcement actions by the Securities Exchange Commission, FINRA, or any state securities or real estate regulatory bodies
- Bachelor’s degree with a concentration or advanced degree Finance, Marketing, or Accounting...