Finra jobs in New York, NY

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Analyst Corporate Finance

Duff & Phelps 9 reviews - New York, NY
Ability to master new tasks quickly Demonstrated commitment to obtaining outstanding results Ability and willingness to work long hours and on weekends FINRA...
Duff & Phelps Corporation - 1 hour ago - save job - email - more...

Compliance and Operational Risk- Private Client Division

Compliance Search - New York, NY
• General knowledge of banking regulations, as well as FINRA, NYSE and SEC rules that govern US broker dealers and investment advisors, including branch level...
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4 hours ago - save job - email - more...

Chief Compliance Officer

The Bachrach Group 2 reviews - New York, NY 10018 (Clinton area)
International Bank in New York operating a FINRA-registered broker-dealer and investment bank seeks a Chief Compliance Officer/Counsel to lead both functions...
5 hours ago - save job - email - more...

SENIOR ASSOCIATE LEVELPF4 M

New York Life Insurance Co 496 reviews - New York, NY
Oversight of miscellaneous other supervisory functions, such as facilitating the proper reporting of items relative to FINRA rule 3012, oversight of the...
New York Life Insurance Company - 5 hours ago - save job - email - more...

Senior Vice President of Compliance - Asset Management

Execu | Search 35 reviews - Manhattan, NY
$180,000 - $302,000 a year
FINRA Rules, Dodd Frank, CFTC ;. Demonstrated process management and issue resolution. Excellent communication skills (written and verbal)....
9 hours ago - save job - email - more...

CIB – Global Equities – OATS Principal – VP/ED - NY

JPMorgan Chase 5,192 reviews - New York, NY
Applicable FINRA Linc including but not limited to 7, 63, and 24. offers an exceptional benefits program and a highly competitive compensation package....
17 hours ago - save job - email - more...

Life Insurance Client Service Analyst

Chernoff Diamond & Co., LLC - Uniondale, NY - +1 location
Commission
• Life Insurance License, FINRA Series 6/63 or 7. • Strong attention to detail with ability to organize, prioritize, and manage multiple tasks within set...
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19 hours ago - save job - email - more...

10b5-1 Specialist

Morgan Stanley 671 reviews - New York, NY
Morgan Stanley is a global financial services leader with three core businesses - Institutional Securities, Asset Management, and Global Wealth Management....
22 hours ago - save job - email - more...

Senior .Net Developer

TD Ameritrade 83 reviews - Jersey City, NJ
Full-time, Contract
member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NASDAQ:. AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP...
1 day ago - save job - email - more...

IT Audit Manager

Peak Organization 4 reviews - New York, NY
• Some understanding of the laws and regulations associated with SEC, FINRA, Do. L, and ERISA regulated entities and the use of technology controls to meet...
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1 day ago - save job - email - more...
Compliance Examiner - Market Regulation, Trading & Financial...
Finra 19 reviews - New York, NY
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
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 19 reviews - New York, NY
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 - 3 days ago
Examiner – IT Financial Operations, Member Regulation, ROOR...
Finra 19 reviews - New York, NY
to the FINRA Careers site, enter www.finra.org... that person is hired by FINRA. FINRA is an Equal Opportunity and Affirmative Action Employer FINRA is an...
Sponsored by Finra - 30+ days ago

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