361 finra jobs at 93 companies in Texas
3mo
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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.
1mo
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Financial Advisor - San Antonio and Surrounding areas
San Antonio or Texas
FieldFull Time
Bachelor's degree or equivalent experience; FINRA SIE, life and health licenses before contracting; satisfactory background check, fingerprinting, and applicable securities or insurance verification.
FINRA, Broker Check
3w
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Licensing Specialist
Fort Worth, Texas, United States
HybridFull Time
2+ YOEBachelor's degree or equivalent, 2 years customer service, administrative experience, knowledge of state licensing, FINRA and RegEd systems, strong communication, attention to detail, and confidentiality.
Microsoft Office, AS400, RegEd, FINRA
1w
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Financial Advisor
North Richland Hills, Texas, United States
$45k-$100k/yr OnsiteFull Time
Ambition, self-motivation, relationship-building, critical thinking, and interest in financial markets; one qualifying background plus required FINRA registrations and state insurance licenses.
Social media, FINRA, SEC
14h
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Managing Director - Regulatory Supervision
Frisco or Charlotte
$179k-$264k/yr OnsiteFull Time
10+ YOE10+ years of experience required; preferred university degree; Series 7 and Series 24 FINRA registrations; expertise in broker-dealer supervision, compliance, risk management, controls, and transformation.
FINRA, SEC
22h
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Security Operations Engineer
Dallas, Texas, United States
$86k-$116k/yr HybridFull Time
5+ YOE5+ years in information security engineering focused on data or cloud security; DSPM and DLP platform experience; AWS and/or Azure; SaaS security; NIST, FINRA, and SEC framework familiarity.
DSPM, DLP, AWS, Azure, SaaS, NIST CSF, NIST 800 53, FINRA, SEC
1d
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Managing Director - Regulatory Supervision
Dallas or Charlotte or Frisco
$179k-$264k/yr HybridFull Time
10+ YOERequires 10+ years of experience, preferred university degree, and FINRA Series 7 and Series 24 registrations. Leads broker-dealer supervision, risk management, compliance, controls, metrics, and transformation.
FINRA, SEC
2mo
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Compliance Officer, Compliance – Distribution
Newport Beach or Austin
$108k-$135k/yr HybridFull Time
3+ YOE3+ years regulatory compliance in a FINRA-registered broker-dealer; licensing/registration; Series 7/24 required or pursuing; undergraduate degree; knowledge of FINRA/NFA rules.
FINRA Gateway, NFA ORS, Microsoft Office
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)
3mo
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Financial Planning Consultant - Westlake, TX
Westlake, Texas, United States
OnsiteFull Time
5+ YOEFINRA Series 7; FINRA Series 63/65 or 66; Insurance license within 90 days; CFP preferred; 5+ years financial services; strong planning and client advisory skills.
FinTools, PlanningTools, Zoom
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
1mo
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GFC Investigator (Brokerage - AML)
Phoenix or Pennington or Charlotte or Plano or Dallas or Jersey City
$69k-$102k/yr OnsiteFull Time
5+ YOE5+ years relevant experience investigating brokerage/AML matters; knowledge of retail brokerage products and FINRA/SEC rules; FINRA Series exams (Series 7/6 or equivalent) and SAR experience; stakeholder management and regulatory reporting.
2mo
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Licensed Financial Services Representative
Austin, Texas, United States
$28-$33/hr OnsiteFull Time
Active FINRA Series 7 and 63 licenses; customer service experience; strong communication; growth mindset.
CRM software, Phone-based customer service
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.
2mo
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Insurance and Financial Services Position - State Farm Team Member
The Colony, Texas, United States
$35k-$75k/yr OnsiteFull Time
3+ YOE3+ years in insurance/financial services; licenses in insurance and FINRA Series 7/63 preferred; strong communication.
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.
2mo
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Life/Health Insurance Position - State Farm Agent Team Member
Euless or Arlington
$35k-$95k/yr OnsiteFull Time
Sell life/health insurance; develop leads; meet sales goals; FINRA; Life/Health license; strong communication skills.
2mo
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Life Insurance Position - State Farm Agent Team Member
Prosper, Texas, United States
$65k-$100k/yr OnsiteFull Time
Excellent communication and analytical skills; customer service focus; FINRA accreditation; Life/Health Insurance License; proven sales ability.
3mo
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Senior Compliance Officer
Dallas, Texas, United States
HybridFull Time
5+ YOE5-7 years brokerage compliance/risk experience; FINRA/SEC knowledge; bachelor’s degree; securities licenses required or to be obtained.
FIS, LexisNexis, Microsoft Office (Excel, Word, PowerPoint, Outlook), Surveillance and monitoring tools, Regulatory reporting systems, CRM platforms, Hadrius, Smarsh, Protegent
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.
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