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 »
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 »
applicable regulations. Maintains a department-wide system that ensures consistent monitoring of document or information requests. Business Proficiency - Maintains a strong knowledge of FinancialIndustryRegulatoryAuthority requirements, U.S. Securities and Exchange Commission regulations, Bank policy, and other mandatory rules affecting securities and trade. Utilizes knowledge to provide guidance and 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 »
products To be successful in this role, we're seeking the following: Bachelor's Degree required 15-18 years' of total work experience preferred FINRA Series 7, 24 required At BNY Mellon, our inclusive culture speaks for itself. Here's a few of our awards: Fortune World's Most Admired more »
degree or the equivalent combination of education and experience is required. 0-3 years of total work experience preferred. Experience in financial investments preferred. FINRA Series 99 Preferred (will be required to obtain) Knowledge of DTC/Euroclear, Bloomberg, ICELink, ALERT/CTM a preferred A desire to collaborate, problem 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 »
Cincinnati, Ohio, United States Hybrid / WFH Options
Commonwealth Financial Network LLC
the same. Together, we can build a better future for our advisors, their clients, our company, and you. About Commonwealth Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide. Privately held since 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 »
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 »
