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 »
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 »
insurance licenses within 14 days of entry into the job, max of 2 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 more »
new investments or researching specific legal or regulatory queries from the Board or wider team Compilation and submission of regulatory reporting through Regdata, Connect, FINRA etc Ownership of the AML program Experience needed: 8-10 years of relevant and broad compliance experience gained in a fund or investment management environment more »
policies and procedures. What you have: High School Diploma or General Equivalency Diploma required. Required maintenance of Life/Health license. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 and 65) license. Must be able to successfully pass background check and meet all more »
policies and procedures. What you have: High School Diploma or General Equivalency Diploma required. Required maintenance of Life/Health license. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 and 65) license. Must be able to successfully pass background check and meet all more »
policies and procedures. What you have: High School Diploma or General Equivalency Diploma required. Required maintenance of Life/Health license. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 and 65) license. Must be able to successfully pass background check and meet all more »
policies and procedures. What you have: High School Diploma or General Equivalency Diploma required. Required maintenance of Life/Health license. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 and 65) license. Must be able to successfully pass background check and meet all more »
procedures. What you have: High School Diploma or General Equivalency Diploma required. Active Group 1 Life & Health license Active, in good standing, and maintained FINRA 7 license Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license Must be able to successfully pass background check and meet more »
procedures. What you have: High School Diploma or General Equivalency Diploma required. Active Group 1 Life & Health license Active, in good standing, and maintained FINRA 7 license Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license Must be able to successfully pass background check and meet more »
procedures. What you have: High School Diploma or General Equivalency Diploma required. Active Group 1 Life & Health license Active, in good standing, and maintained FINRA 7 license Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license Must be able to successfully pass background check and meet more »
procedures. What you have: High School Diploma or General Equivalency Diploma required. Active Group 1 Life & Health license Active, in good standing, and maintained FINRA 7 license Active, in good standing, and maintained FINRA Series 66 (or 63 & 65) license Must be able to successfully pass background check and meet more »
and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during 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), as well as required CE training to ensure licenses remain in good standing. Awards & Accolades At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received. more »
and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during 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), as well as required CE training to ensure licenses remain in good standing. Awards & Accolades At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received. more »
and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during 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), as well as required CE training to ensure licenses remain in good standing. Awards & Accolades At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received. more »
and Series 66 will be required; if not currently registered, registrations may be obtained at Edward Jones during 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), as well as required CE training to ensure licenses remain in good standing. Awards & Accolades At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received. more »
agency. Access to reliable transportation and ability to travel up to 65% within the city, to and from client sites. Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable), Registration as an Investment Advisor Representative (Series 65/… Registration as a FINRA Securities Principal (Series 24/26). You promote a culture of diversity and inclusion, value different ideas and opinions, and listen courageously, remaining curious in all that you do. Individuals who do not meet the above requirements upon hire will be required to obtain the more »
agency. Access to reliable transportation and ability to travel up to 65% within the city, to and from client sites. Registration as a licensed FINRA Registered Representative (SIE, Series 6/7 or equivalent license, and Series 63 if applicable). Registration as an Investment Advisor Representative (Series 65/… . Registration as a FINRA Securities Principal (Series 24/26). You promote a culture of diversity and inclusion, value different ideas and opinions, and listen courageously, remaining curious in all that you do. Individuals who do not meet the above requirements upon hire will be required to obtain more »
