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...
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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