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FINRA Jobs in Saint Louis

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Search Results - FINRA Jobs in Saint Louis
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...
Saint Louis
department associates.  •  Ensure brand standards are met in all firm design materials. What You'll Bring:  •  Understanding of products and services offered and FINRA regulatory requirements.  •  Understanding and knowledge of the financial industry.  •  Knowledge...
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
and procedures surrounding work performed in accordance with SEC and FINRA regulations.  •  Creates and maintains electronic records using various systems according to department policy and procedure. What You'll Bring:  •  Possess strong communication...
icims.com -
Edward Jones-Saint Louis
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 Directors are registered with FINRA as designated supervisory...
Saint Louis
the resolution and any corrective action taken.  •  Utilize ad-hoc query tools to mine data for investigations.  •  Assists the Firm in researching and responding to SEC, FINRA, and MSRB regulatory inquiries.  •  Perform administrative duties such as preparing various...
icims.com -
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...
Saint Louis
Required: FINRA Series 65 or 66 is preferred or the ability to obtain. Systems & Technology:  •  Proficient in Microsoft Excel, Word, PowerPoint, and Outlook. About Stifel: Stifel is more than 130 years old and still thinking like a start-up. We...
icims.com -
Mutual of Omaha-Saint Louis
attempts at Life and Health exam  •  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...
Saint Louis
with compliance issues surrounding insurance products.  •  Understand the tax ramifications of insurance products and current tax codes that apply to these transactions.  •  Knowledge of FINRA regulations, sales practices, and issues on Investment Company act products...
icims.com -
Mutual of Omaha-Saint Louis
attempts at Life and Health exam  •  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...
Edward Jones-Saint Louis
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 3110(e). A copy...
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
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: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf. Read More About Skills...
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...
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