communication and interpersonal skills, with the ability to collaborate effectively with stakeholders at all levels of the organization. Experience with regulatory compliance (e.g., SEC, FINRA, GDPR) and security best practices in the financial services industry. Proven track record of successfully delivering complex technology projects on time and within budget. more »
future market events and be able to communicate and discuss with customers from a theoretical perspective without providing investment advice. What you bring Active FINRA Series 7, 63, and NFA Series 3 required Bachelor's degree, plus if in finance Minimum 2 years in professional trade desk experience Demonstrated results more »
years of experience within financial services 3-5 years of experience in a Regulatory Testing/Examiner/Audit role Understanding of FRB, SEC, FINRA, OCC, NFA, Privacy and Anti-Money Laundering rules and regulations Travel: Must be able to travel 20% - 25% during the course of the year (roughly … s degree or equivalent experience Understanding and experience with Microsoft suite of applications (Word, Excel, PowerPoint) Professional licensing and/or compliance certifications (e.g., FINRA Series 7, 66, Investment Adviser Representative, CRCP and CAMS) General understanding of financial holding company, bank, broker-dealer, and investment advisory businesses, as well as more »
Gather assets for fee-based and traditional brokerage accounts Go on calls with clients and potential clients Maintain a high level of compliance with FINRA, SEC, and firm rules and regulations M eet sales quotas A ssess client's overall financial picture, truly understand their needs and then develop a more »
of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA The Ideal Qualifications Experience with and an understanding of Third Party distribution with Licensing, Credentialing and Relationship Management Proven experience with providing excellent customer service more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
the Private Client Group. Ensures timely financialregulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations. Responsibilities: Financial Oversight - Manages all … RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financialregulatory reports to the FinancialIndustryRegulatoryAuthority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit. more »
service, lending or financial services role, including supervisory experience. Additional Requirements: Must complete federal registration and annual renewal as required by the SAFE Act. FINRA Series 6 and 63 registrations (or equivalent) and state specific life insurance license must be active and maintained or must be obtained within 120 days … job entry date. Employment Agreement Requirement: Dual Employment Agreement (all FCB/FCIS Wealth Management - dual associates, including LPAs) Other Preferred Qualifications: Currently holds FINRA 6 and 63 registrations as well as state specific life insurance license, and has maintained continuing education coursework to keep licenses and/or registrations more »
service, lending or financial services role, including supervisory experience. Additional Requirements: Must complete federal registration and annual renewal as required by the SAFE Act. FINRA Series 6 and 63 registrations (or equivalent) and state specific life insurance license must be active and maintained or must be obtained within 120 days … job entry date. Employment Agreement Requirement: Dual Employment Agreement (all FCB/FCIS Wealth Management - dual associates, including LPAs) Other Preferred Qualifications: Currently holds FINRA 6 and 63 registrations as well as state specific life insurance license, and has maintained continuing education coursework to keep licenses and/or registrations more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
registrations may be obtained at Edward Jones during the assigned study period At least 3-5 years of relevant experience in securities industry preferred FINRA licenses required within three months. State insurance licenses required As an associate, you are required to complete all ongoing training offered by the firm and more »
