Finra jobs in Kansas City, MO

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Compliance Examiner - Member Regulation, Sales Practice - Ka...
Finra 25 reviews - Kansas City, MO
Submitted to FINRA. FINRA strives to make. The FINRA Careers site, enter. FINRA examiners work in a team environment, with opportunities to interact with broker...
Sponsored by Finra - 18 days ago
Kansas City Financial Representative
First Investors 91 reviews - Kansas City, KS
FINRA (Financial Industry Regulatory Authority) ICI (Investment Company Institute) ASBO (Association of School Business Officials) NTSAA (National Tax Shelter...
Sponsored by First Investors - 26 days ago
Compliance Examiner
Cambridge Investment Research 8 reviews - United States
Maintain working knowledge of compliance regulations, industry topics, and continuing education for FINRA licenses....
Easily apply
Sponsored by Cambridge Investment Research - 30+ days ago

Investment Specialist – Business and Retirement Services

American Century Investments® - Kansas City, MO
Series 6 and 63 FINRA licensed. Strong knowledge of the Retirement Industry and Experience in Qualified Retirement Plans....

B/D Compliance Advertising Director

Ivy Funds - Overland Park, KS
As required, file all advertising and sales literature with FINRA and discuss/respond with FINRA Advertising Analyst....

Senior Vice President, Institutional Business Development

Mariner Holdings, LLC - Mission Woods, KS
FINRA Series 65 or 66 preferred. Palmer Square Capital Management LLC is seeking candidates for a position as a Vice President- Business Development....
Easily apply

Compliance Electronic Communications Surveillance Analyst

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

Human Resource Specialist

Ivy Funds - Overland Park, KS
Facilitate FINRA fingerprint process for home office employees. The Human Resource Specialist primarily performs talent acquisition and employee relations...

Wealth Advisor

Mariner Holdings, LLC - Leawood, KS
FINRA Series 65 license. Point Financial, clients have access to powerful resources, industry-leading professionals and cutting-edge technology previously...
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Experienced Financial Professional

Prudential 703 reviews - Overland Park, KS
FINRA series 6 registration preferred (if not, must be obtained within 90 days of hire). Experienced Financial Professional....

Compliance Surveillance Analyst

Waddell and Reed 70 reviews - Overland Park, KS
Maintain working knowledge of current FINRA and state regulatory issues as well as the firm’s written supervisory procedures....

Retirement Representative - Call Center Representative

Great-West 86 reviews - Overland Park, KS
FINRA Series 6 and 63 licenses are required within the first 90 days of employment. More information about this job....

Sr. Compliance Complaint Specialist

Ivy Funds - Overland Park, KS
Identify and make related regulatory filings as required pursuant for FINRA Rule 4530 and/or amend Form U4/U5....
Compliance Advertising Analyst- Remote
Cambridge Investment Research 8 reviews - United States
FINRA Series 7 license and Series 24 licenses are preferred and should be obtained within 6 months of placement....
Easily apply
Sponsored by Cambridge Investment Research - 26 days ago
Financial Advisor Serving Fort Leavenworth Area
First Command Financial Services, Inc. 36 reviews - Leavenworth, KS
(Member SIPC , FINRA ), First Command Insurance Services, Inc. First Command Financial Services is committed to helping military families get their financial...
Sponsored by First Command Financial Services, Inc. - 14 days ago

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Company with Finra jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.