Finra jobs in New York, NY

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Complex Supervisory Officer

UBS 594 reviews - Florham Park, NJ  +2 locations
Requirements • FINRA Registrations:. The Complex Supervisory Officer is responsible for performing delegated supervisory functions for the complex/branch and...

VP, Financial Advisor, New York, NY (Grand Central)

Capital One - US 5 reviews - New York, NY  +6 locations
FINRA Series 63 and FINRA Series 65 or FINRA Series 66 license. At Capital One, it’s all about dreaming, disrupting, and delivering a better way…....

VP, Financial Advisor- Brooklyn, NY (Canarsie)

Capital One - US 5 reviews - Brooklyn, NY
FINRA Series 63 and FINRA Series 65 or FINRA Series 66 license. At Capital One, it’s all about dreaming, disrupting, and delivering a better way…....

CCB - Relationship Banker - Long Island West - Mineola Court...

JPMorgan Chase 7,376 reviews - Mineola, NY  +4 locations
FINRA Series 6 or 7, state registration (including 63 or 66 if required), and Life and Health licenses are required - or must be successfully completed within...

Suitability Representative (21742)

New York Life Insurance Co 728 reviews - New York, NY
Must have or be willing to obtain FINRA Series 6 or 7 within three months of hire. New York Life Insurance Company (“New York Life”) is the largest mutual life...

Big Data Solutions Architect - New York, NY

Finra 28 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...

Financial Operations Principal (Fin Op) - Forex Division

Brokerage Consultants Inc. - New York, NY
FINRA and SEC reporting experience a plus. The position of Chief Financial Officer will be primarily responsible for....
Easily apply

Vice President - Marketing Compliance

Robert Half Finance & Accounting 3 reviews - New York, NY 10167 (Midtown area)
Strong understanding of marketing rules related to Investment Advisors Act of 1940,Investment Company Act of 1940, SEC & FINRA advertising rules....

Licensed Financial Specialist - Westfield Plaza

PNC Bank 1,791 reviews - Westfield, NJ  +2 locations
FINRA Series 6 or 7, 66 (or 63 & 65), and State Life and Health licenses required. As a Financial Specialist for PNC, you will have a unique opportunity to...

Strategic Initiatives ISG Compliance Professional

Morgan Stanley 939 reviews - New York, NY
The group works closely with the ISG Americas Chief Compliance Officer in managing key departmental projects and initiatives including the FINRA and CFTC Annual...
Compliance Review Examiner – AVP
Drum Associates - New York, NY
$125,000 a year
The ideal candidate will possess experience in Financial Operations (FinOp) related rules for FINRA, SEC, CFTC and NFA (or any combination thereof)....
Sponsored by Drum Associates
Senior Compliance Analyst, Central Compliance
ETRADE Financial 95 reviews - Jersey City, NJ
Knowledge of FINRA CRD, NFA ORS and Gateway. Understanding of applicable SEC, FINRA (NASD), NFA, CFTC, MSRB and SIPC rules....
Sponsored by ETRADE Financial
Compliance Examiner - Member Regulation, Sales Practice - Ne...
Finra 28 reviews - New York, NY
FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers....
Sponsored by Finra

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Company with Finra jobs
Drum Associates is a premier provider of executive human capital solutions.