Finra jobs in New York, NY

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Senior Compliance Associate/Examiner

Compliance Search - New York, NY
Direct regulatory experience i.e. FINRA is highly desired. A leading provider of credit and bond ratings seeks a Senior Compliance Associate/Examiner who will...
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Desk Based Compliance Manager

Michael Page 53 reviews - Manhattan, NY
Particular focus to carry out the Desk based Supervision responsibilities and to respond quickly, accurately and effectively to FINRA and other US related...

CIB-Investor Services Client Executive -ED / VP

JPMorgan Chase 6,151 reviews - New York, NY
Active holder of the FINRA Series 7 and 63 securities licenses. CIB-Investor Services Client Executive -ED / VP....

Compliance Analyst

Compliance Search - New York, NY
Direct regulatory experience i.e. FINRA is highly desired. A leading provider of credit and bond ratings seeks a Compliance Associate/Examiner who will be...
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Business Analyst/ Project Manager

Adecco 4,099 reviews - New York, NY
Background/work experience in a regulatory body FRBNY, SEC, CME or FINRA (Optional). Adecco Group, a world leader with the recruitment of office professionals...

Investment Assistant - Emerging High Net Worth - Series 7 &...

JPMorgan Chase 6,151 reviews - New York, NY
FINRA Series 7 required; Investment Assistant - Emerging High Net Worth - Series 7 & 63 Required, New York....

Marketing Director (Mutual Fund Platform)

Selby Jennings - New York, NY
Working knowledge of FINRA and 1940s Mutual Funds marketing regulations. Marketing Director (Mutual Funds)....

Market Surveillance Compliance Officer

Compliance Search - Jersey City, NJ
FINRA, SEC, CFTC) encompassing all of the rules. A global bank seeks a Market Surveillance Compliance Officer who will be responsible for providing independent...
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Manager - Market Regulation, Trading & Financial Compliance...

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...

Junior Branch Compliance Examiner

Compliance Search - New York, NY
Ensure the Firm•s compliance with FINRA Rule 342.25 Annual Branch Office Inspection. Researches, responds to, and directly interacts with SEC, FINRA, MSRB, or...
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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 - 30+ days ago
Retail Investments Financial Consultant II
Santander Bank 121 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 - 23 days ago
Compliance Examiner - Market Regulation, Trading & Financial...
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

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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.