Finra jobs in New York, NY

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Financial Operations Examiner - Member Regulation, ROOR - Ne...

Finra - 37 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...

Bilingual Vice President Premier Relationship Manager (Manda...

HSBC - 3,798 reviews - Flushing, NY  +2 locations
Refer investment opportunities to Premier Relationship Advisors and Premier Wealth Advisors pursuant to appropriate FINRA registrations under HSBC Securities...

CCB - Relationship Banker - Columbus Circle

JPMorgan Chase - 10,634 reviews - New York, NY  +11 locations
FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required - or must be successfully completed within 120 days of...

CCB - Private Client Banker - Columbus Circle

JPMorgan Chase - 10,634 reviews - New York, NY  +3 locations
FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required. CCB - Private Client Banker - Columbus Circle....

Asset Management | GWM | Latin America Private Bank | Client...

JPMorgan Chase - Asset Management - 10,634 reviews - New York, NY
Given the involvement with securities-related instruments, this position requires FINRA 7 & 63 licenses within 120 days of hire....

Associate Director, Macquarie Securities Group Compliance -...

Macquarie Group Limited - 17 reviews - New York, NY
Strong knowledge and understanding of FINRA rules and federal securities laws; The Risk Management Group is an independent, centralised unit responsible for...

Branch Relationship Banker

HSBC - 3,798 reviews - Brooklyn, NY 11249 (Chelsea area)  +2 locations
Refer investment opportunities to Financial Advisors pursuant to appropriate FINRA registrations under HSBC Securities (USA) Inc....

Regulatory Business Analyst

Prospect 33 - New York, NY
The successful candidate will be responsible for effectively providing business analysis and delivering initiatives around FINRA Rule, as well as some project...

Ld Analyst, Client Trans Cons-PAS CONVERSIONS

BNY Mellon - 1,549 reviews - Jersey City, NJ 07306 (Journal Square area)
Applicable FINRA licenses preferred (e.g., Series 7, 63, etc.). For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding...

ADL Regional Vice President

AXA - 478 reviews - Jersey City, NJ
CLU, ChFC and/or CFP preferred FINRA Series 6/7, LH&A and 63 required. AXA is a leading financial protection company, committed to fostering and maintaining a...
Associate Principal Examiner/Principal Examiner - Member Reg...
Finra - 37 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...
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Financial Consultant - Greater NY/NJ Area
FINRA Series 7 & 63 required prior to hire. Financial Consultant - Greater NY/NJ Area....
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REGIONAL SUPERVISORY OFFICER/RISK ANALYST
Confidential - Securities Broker-Dealer - New York, NY
FINRA Series 7, 24, 63, and 65/66 licenses and other relevant licensing for other securities types. The position requires a four year college degree in a...
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