Finra jobs in Kansas City, MO

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Financial Consultant
Morrill & Janes Bank and Trust - Merriam, KS
FINRA Series 66 (preferably) or 63. Morrill & Janes Bank and Trust growing dynamic organization with many locations offering uniquely different banking and...
Retirement Benefits Group - Financial Advisor
AXA Advisors - 275 reviews - Overland Park, KS
State life and health licenses, FINRA Series 7 and 63 registrations. A four-year college degree is preferred and relevant professional FINRA securities...
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Associate Financial Advisor
Wells Fargo - 18,980 reviews - Lee's Summit, MO
Registration for FINRA Series 7 and Series 66 (or 63 & 65) or FINRA recognized equivalents must be obtained to remain in this position....

Customer Service Representative

Waddell and Reed - 168 reviews - Overland Park, KS 66223
Ability to pass the FINRA Series 6 License exam within first 4 months of employment. Are you looking for an opportunity to turn your engaging personality and...

Trading Specialist

Waddell and Reed - 168 reviews - Overland Park, KS 66223
FINRA Series 7 and 63 required (66 will be accepted in place of 63). This position is responsible for conducting trade desk functions, including but not limited...

Compliance Surveillance Analyst

Waddell and Reed - 168 reviews - Overland Park, KS 66223
Maintain working knowledge of current FINRA and state regulatory issues as well as the firm’s written supervisory procedures. Basic Job Summary:....

Compliance Complaint Specialist

Waddell and Reed - 168 reviews - Overland Park, KS 66223
Maintain working knowledge of current FINRA and state regulatory issues as well as the firm’s written supervisory procedures. Basic Job Summary:....

Compliance Electronic Communications Surveillance Analyst

Waddell and Reed - 168 reviews - Overland Park, KS 66223
Maintain working knowledge of current FINRA and state regulatory issues as well as the firm’s written supervisory procedures....

Internal Wholesaler

Waddell and Reed - 168 reviews - Overland Park, KS 66223
FINRA Series 6 or 7 required (must obtain FINRA Series 7 within first 90 days). Responsible for developing and maintaining existing relationships, as well as...

Retirement Representative - Starting in December

Great-West - 152 reviews - Overland Park, KS
You will work for the fastest growing retirement record-keeper in the country You will provide superior customer service to our Retirement (401K) Participants...

Examiner - Member Regulation, Sales Practice - Kansas City,...

Finra - 59 reviews - Kansas City, MO 64105
FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place...

Chief Regulatory Officer (CRO)/ Chief Compliance Officer (CC...

Waddell and Reed - 168 reviews - Overland Park, KS 66223
Strong knowledge of applicable FINRA and MSRB rules and SEC statutes and regulations. The CRO / CCO ensures each regulated entity is in compliance with SEC and...

Transition Specialist

Waddell and Reed - 168 reviews - Overland Park, KS 66223
Supervise the recruit’s on-boarding activities in accordance with FINRA, SEC, and state regulations. Demonstrated knowledge and application of FINRA, SEC and...
Regional Banking Director 3
Wells Fargo - 18,980 reviews - Kansas City, MO 64101
FINRA registration including Series 63 (or FINRA recognized equivalents). FINRA recognized equivalents will be accepted....
Financial Advisor
(Member SIPC , FINRA ), First Command Advisory Services, Inc., First Command Insurance Services, Inc. First Command Financial Services is committed to helping...

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