Finra jobs in Kansas City, MO

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Compliance Examiner - Member Regulation, Sales Practice - Ka...
Finra 18 reviews - Kansas City, MO
to the FINRA Careers site, enter www.finra.org... FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an Equal Opportunity...
Sponsored by Finra - 30 days ago
Kansas City Financial Representative
First Investors 68 reviews - Kansas City, KS
degree or equivalent work experience First Investors is a member of: FINRA (Financial Industry Regulatory Authority) ICI (Investment Company Institute) ASBO...
Sponsored by First Investors - 30+ days ago

Brokerage Consultant

Waddell and Reed 51 reviews - Overland Park, KS
Demonstrated knowledge of FINRA & SEC rules and regulations. Must be flexible and a strong team player....
5 hours ago - save job - block - email - more...

Compliance Surveillance Analyst

Waddell and Reed 51 reviews - Overland Park, KS
Maintain working knowledge of current FINRA and state regulatory issues as well as the firm’s written supervisory procedures....
15 days ago - save job - block - email - more...

Compliance Manager - Capital Markets Group

Commerce Bank 82 reviews - Kansas City, MO
line (“DBL”) supervisory policies and procedures, and the applicable laws and regulations of the Financial Industry Regulatory Authority (FINRA), SEC,...
27 days ago - save job - block - email - more...

Compliance Electronic Communications Surveillance Analyst

Waddell and Reed 51 reviews - Overland Park, KS
Maintain working knowledge of current FINRA and state regulatory issues as well as the firm’s written supervisory procedures....
15 days ago - save job - block - email - more...

Customer Service Representative

Waddell and Reed 51 reviews - Overland Park, KS
Pass the FINRA Series 6 License exam within first 4 months of employment. Knowledge of mutual funds and/or securities industry is helpful and preferred....
15 days ago - save job - block - email - more...

Mutual Fund Reconciliation Administrator

Great-West 71 reviews - Overland Park, KS
Normal Office Working Conditions This position requires submission of fingerprints to FINRA The above statements are intended to describe the general nature and...
17 days ago - save job - block - email - more...

Account Coordinator

Great-West 71 reviews - Overland Park, KS
Prioritize and complete all applicable processing in accordance within departmental, corporate, IRS, Department of Labor, FINRA and SEC regulations and...
15 days ago - save job - block - email - more...

Financial Coach

First Command Financial Services, Inc. 26 reviews - Kansas City, MO - +1 location
First Command Financial Services is committed to helping Military families get their financial lives squared away and pursue their goals and dreams through...
1 day ago - save job - block - email - more...

Vice President, Marketing

Mariner Holdings, LLC - Leawood, KS
Experience working with FINRA, SEC and other regulatory requirements for Registered Investment Advisors. Exceptional track record of developing and implementing...
Easily apply
2 days ago - save job - block - email - more...

Sr Retirement Representative

Great-West 71 reviews - Overland Park, KS
Responds appropriately to questions or concerns in relation to investments, in accordance with FINRA / SEC guidelines....
13 days ago - save job - block - email - more...
Financial Coach
First Command Financial Services, Inc. 26 reviews - Kansas City, MO
investment products, including securities are offered by First Command Financial Planning, Inc. (Member SIPC , FINRA ). Required Skills Required Experience
Sponsored by First Command Financial Services, Inc. - 1 day ago
Advisor-Kansas City
Thrivent Financial 50 reviews - Kansas City, MO
or sale of insurance products. Obtain and maintain FINRA Series 7 and 66; Series 7, 65 and 63; or Series 6... Minneapolis, MN 55415, a FINRA and SIPC member and a...
Sponsored by Brokerhunter.com - 3 days ago
External Advisor Recruiter
Lincoln Financial 28 reviews - Kansas City, KS
experience; educational concentration in Finance or Marketing is preferred FINRA Series 7 and 24 preferred, but not required Experience 3-5+ years of experience...
Sponsored by Lincoln Financial Group - 30+ days ago

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Company with Finra jobs
68 reviews
First Investors, a recognized leader in financial services, operates in 26 states. Helping families achieve their financial goals.
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