88 finra jobs at 39 companies in Houston, TX
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FINRA Supervisory Specialist - PNC Wealth Management
Pittsburgh or Bellaire or Bridgewater or Raleigh or Birmingham or Dallas or Cleveland or Ann Arbor or Orlando or Phoenix or Charlotte or Cherry Hill or Jacksonville or Columbus or Miami
$45k-$142k/yr OnsiteFull Time
2+ YOESupervise and review trades, ensure regulatory compliance, coach staff, and manage escalations across regions.
4d
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Suitability Principal
Springfield or Phoenix or Richmond or Chicago or Hartford or Raleigh or Harrisburg or Des Moines or Atlanta or Indianapolis or Houston or Orlando or Montgomery
$69k-$91k/yr HybridFull Time
2+ YOERequires FINRA Series 7 and 24, 2+ years applying FINRA and SEC policies, risk analysis, issue investigation, high school diploma, and complex transaction or new business review experience.
National Financial Services (NFS)
1mo
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Workplace Planning Consultant
United States or Fairfax or Houston or Columbus or Kansas
$55k-$76k/yr RemoteFull Time
1+ YOEBachelor's degree or equivalent, 1+ year in performance/goal-oriented roles, ability to obtain FINRA 7/63/65 (or 66) registrations and complete FINRA fingerprinting; strong relationship management and communication skills.
Microsoft Word, Microsoft Excel, Microsoft PowerPoint, SalesForce
2mo
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Life Insurance Position - State Farm Agent Team Member
Houston, Texas, United States
$55k-$120k/yr OnsiteFull Time
Licensed Life/Health Insurance professional with FINRA accreditation; strong communication, customer service, and sales skills.
3mo
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Financial Services Representative - State Farm Agent Team Member
Clute, Texas, United States
$50k-$80k/yr OnsiteFull Time
3+ YOECollege degree in Finance or related field, or 3+ years in financial services; analytical and communication skills; FINRA licenses preferred.
3mo
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Financial Advisor
San Francisco or New York City or Houston or Chicago
$75k-$90k/yr OnsiteFull Time
3+ YOE3-5 years of financial advisory experience; success with high-net-worth clients; existing book of business; FINRA licenses.
3mo
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Entry-Level Financial Representative
Houston or Cypress
$78k-$125k/yr HybridFull Time
Willingness to obtain state insurance licenses and FINRA registration; bachelor’s or high school diploma acceptable; strong communication skills; pass background checks and fingerprinting.
3mo
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Merrill Lending Solutions Advisor II
Dallas or Seattle or Los Angeles or Houston
$175k-$248k/yr OnsiteFull Time
12+ YOE12+ years wealth management or credit advisory; excellent communication; FINRA SIE, 7, 63/65 or 66; UHNW experience; strong lending structuring.
Credit analysis software, Lending platforms, Microsoft Office, CRM tools
1mo
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Internal Wholesaler
Houston, Texas, United States
HybridFull Time
1+ YOEBachelor's degree, 1+ years experience, Life & Health license, FINRA SIE, Series 6 and 63, strong communication, MS Office and illustrations proficiency.
Microsoft Office, illustrations, internet
1mo
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Complex Manager (Houston, TX)
Houston, Texas, United States
OnsiteFull Time
10+ YOE10+ MgmtManage account teams, develop strategic client relationships, propose business plans and budgets; 10+ years general and manager experience; FINRA exams required.
4d
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Insurance Agent - Houston, TX
Houston, Texas, United States
FieldFull Time
2+ YOEBuild and manage an insurance agency, develop client relationships, present products, network in the community, and hold or obtain required insurance and FINRA licenses. Insurance experience is preferred.
14h
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Business Operations Associate PPN
United States or Dubuque or Grand Island or Waterloo or Mason City or Des Moines or Cedar Rapids or Waco or Phoenix or Charlotte or Raleigh or Dallas or Spokane or Atlanta or Chicago or Houston or Minneapolis or Saint Paul or Philadelphia or Los Angeles or New York City
$23-$41/hr RemoteFull Time
4+ YOERequires 4+ years of financial services, insurance, or retirement experience, FINRA NRFO registration, analytical and communication skills, Microsoft applications knowledge, and strong organizational abilities.
Microsoft applications
1w
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Registered Wealth Management Client Associate
Houston, Texas, United States
OnsiteFull Time
Requires FINRA SIE, Series 7, and Series 66 licenses; advanced investment product knowledge; client service, communication, judgment, adaptability, and computer application skills.
Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Salesforce
1mo
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Financial Services Representative - State Farm Agent Team Member
Magnolia, Texas, United States
$60k-$100k/yr OnsiteFull Time
3+ YOE3+ years in financial services, strong analytical and communication skills, consultative sales experience; FINRA Series 7 and 63 preferred; compliance knowledge and portfolio review skills.
1mo
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Investment Consultant - Katy, TX
Katy, Texas, United States
OnsiteFull Time
FINRA Series 7 and 66 licenses or ability to obtain Series 66, state registrations, investment knowledge, client relationship skills, and strong communication. A degree or CFP is helpful.
Fidelity's planning tools
1mo
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Financial Advisor - Houston Metro area and Surrounding Eastern Suburbs
Texas or Houston or Beaumont
FieldFull Time
Bachelor's degree or equivalent experience; FINRA SIE, life and health licenses before contracting; satisfactory background check, fingerprinting, and applicable securities registration or insurance licensing verification.
FINRA Broker Check
3mo
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Latin America Private Bank - Senior Client Service Associate
Houston or Jersey City
OnsiteFull Time
3+ YOESenior Client Service Associate in Latin America Private Bank; FINRA Series 7 and 63; SIE; fluent Spanish; 3+ years in investment management; college degree preferred.
FINRA Series 7, FINRA Series 63, SIE, Microsoft Office Suite
1w
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Senior Premier Banker Katy Fulshear, DeNovo
Katy, Texas, United States
OnsiteFull Time
4+ YOERequires 4+ years customer service experience, 3+ years relationship-building and product recommendation experience, active or attainable FINRA and state insurance licenses, SAFE registration, and Saturday availability.
SAFE, LO/CFPB
6d
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Market Director, Wirehouse- Houston
Houston or Austin or San Antonio or Texas
RemoteFull Time
10+ YOE10 years of related experience, including 8 years selling to financial advisors and 5 years prospecting wirehouse teams; FINRA Series 7 and 63; undergraduate degree or equivalent experience.
4w
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External Wholesaler - Retirement
Houston, Texas, United States
$190k-$480k/yr RemoteFull Time
3+ YOE3+ years external financial services sales, FINRA SIE, Series 6, Series 63, Life & Health, bachelor’s or equivalent, must reside in territory, strong analytical and communication skills.
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