FINRA Jobs in Saint Louis
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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...
Charles Schwab-Saint Louis
for bonus or incentive opportunities.
NOTE: This position is based in St. Louis and is not available for hybrid work after training.
What you have
Required Qualifications:
• Must be able to read, write, and speak fluid Spanish and English.
• FINRA Series...
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
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
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
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
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: [...].
Read More About Skills/Requirements
Awards & Accolades
At Edward Jones, we...
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
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: [...].
Read More...
Saint Louis
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
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: [...].
Read More About Skills/Requirements
Awards & Accolades
At Edward Jones, we are building...
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
be obtained within 12 months of hire if not already held
• Minimum of five years of securities industry experience, with at least 3 years in a compliance capacity or similar experience
• Knowledge of the relevant SEC, FINRA and MSRB Fixed Income Trading...
Edward Jones-Saint Louis
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: [...].
Read More About Skills/Requirements
Awards & Accolades
At Edward Jones, we are building...
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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