FINRA Jobs in Missouri
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Search Results - FINRA Jobs in Missouri
Edward Jones-Saint Louis
associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.
Field Supervision Officers are registered with FINRA...
Kansas City
and presentation skills.
• Experience with credit risk management tools and techniques.
• Basic knowledge of capital markets and futures/options
Preferred:
• FINRA professional designations (SIE, S7) is a plus.
Education/Certification:
• Bachelor’s Degree...
icims.com -
Edward Jones-Cape Girardeau
the assigned paid study period.
• FINRA registrations required within three months. State insurance licenses will be required.
• As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC...
Saint Louis
of education and experience.
• Minimum Required: 10+ years of experience within the financial services industry.
Licenses & Credentials:
• Minimum Required: FINRA Series 7, 63, 24 & 27.
Systems & Technology:
• Proficient in Microsoft 365: Outlook, Word...
icims.com -
Edward Jones-Saint Louis
regulations, and disclosure practices related to risk management and risk management frameworks
• Familiarity with issues in the securities industry, including issues involving the SEC, FINRA, and state securities regulators
• Commitment to high level...
Clayton (MO)
Investment Brokerage Services), 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...
icims.com -
Edward Jones-Saint Louis
Skills/Requirements
What Experience You Need:
• Bachelor's degree required
• Charted Financial Analyst (CFA) designation required
• FINRA Series 7 & 66 licenses required within 6 months of hire
• 6-10 years of experience in financial services or related...
Saint Louis
documents, and information delivered to regulatory entities. Ensure accurate data delivery to the inquiries for all business lines including requests from SEC, FINRA, MSRB, Federal Reserve, NFA or other bank and securities regulatory bodies
• Act...
icims.com -
Edward Jones-Saint Louis
Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule...
Saint Louis
identified risks.
• Maintain in-depth knowledge of regulatory compliance requirements, such as FINRA, SEC, PCI-DSS, and applicable laws.
• Assist in audits and ensure compliance with relevant regulations.
• Evaluate, recommend, and implement security...
icims.com -
Edward Jones-Saint Louis
3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance...
Edward Jones-Saint Louis
4. and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available...
Edward Jones-Saint Louis
with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding...
Edward Jones-Saint Louis
17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: [...].
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Edward Jones-Saint Louis
criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los...
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