Finra jobs in New York, NY

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Wealth Management Client Relationship Consultant (New York,...

TIAA-CREF 216 reviews - New York, NY 10002 (Lower East Side area)
Qualifications FINRA Series 7, 66 (or equivalent i.e. 63 & 65) or passage within 120 days of starting role State and Non-Resident Life, Health license or...

Temporary Compliance Positions

Peak Organization 4 reviews - New York, NY
Knowledge and Experience with SEC Form PF, CFTC Form PQR, FINRA Form U4 + U5 is a plus. Temporary Compliance Positions....
Easily apply

AVP - Finance Regulatory Reporting

Barclays 856 reviews - New York, NY
Requisite capital computations for the SEC, FINRA, CFTC, FED and FSA. Barclays is an international financial services provider engaged in personal banking,...

Compliance Advisor Rates, Fixed Income Trading Floor

Compliance Search - New York, NY
Strong knowledge of SEC and FINRA rules and regulations. Our Client, a global investment bank, seeks a Compliance Officer to perform a trading desk advisory...
Easily apply

Control Room-Manager

Compliance Search - New York, NY
Research and respond to FINRA, SEC and other regulatory inquiries. Our Client, an investment bank, seeks a manager for their Control Room of the Institutional...
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Vice President – Finance & Tax Specialist

BNP Paribas 405 reviews - Jersey City, NJ
Business Overview: This position is part of the Finance ITO & Functions Client Service team (CST). This team serves as the functions’ primary point of contact

Senior Compliance Officer, Asset Management Division (Global...

Compliance Search - New York, NY
Perform filings with FINRA. Our Client, a Top Tier Global Investment Bank, is seeking a Sr....
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HR Relationship Manager

TD Ameritrade 119 reviews - Jersey City, NJ
Job Title: HR Relationship Manager Job ID: 105104 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level:

Associate Investigator, Office of Fraud Detection and Market...

Finra 25 reviews - New York, NY
All told, FINRA oversees. FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement...

Business Analyst - Trade Surveillance - Capital Markets

Edward Daniels Group - New York, NY 10017 (Midtown area)
US – FINRA, NASDSEC, CFTC, EUROPE – FSA, APAC- JFSA among others) and by asset class. Will be interacting and engaging with other people so excellent...
Financial Operations Examiner – Market Regulation, Trading &...
Finra 25 reviews - New York, NY
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...
Sponsored by Finra - 10 days ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 25 reviews - New York, NY
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...
Sponsored by Finra - 9 days ago
Retail Investments Financial Consultant II
Santander Bank 143 reviews - New York, NY
Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy...
Sponsored by Santander Bank - 30+ 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.