Finra jobs in New York, NY

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Dedicated Retirement Counselor

Prudential 674 reviews - New York, NY 10001 (Chelsea area)
FINRA Series 6 & 63 licenses required. The primary responsibility of the Retirement Counselor is to provide retirement education and expertise to our client's...

Director of Research Compliance

Compliance Search - New York, NY
A global investment bank seeks a Director of Research Compliance who will be responsible for evaluating and implementing the compliance program (i.e., policies
Easily apply

Business Analyst

Cognizant - New York, NY 10001 (Chelsea area)
US – FINRA, NASD/SEC, CFTC, EUROPE – FSA, APAC- JFSA among others) and by asset class. As a Senior Consultant, you play an important role with responsibilities...
Easily apply

Internal Wholesaler

Lloyd Staffing 35 reviews - New York, NY
FINRA Series 7 & 63 required. Internal wholesaler, marketing associate, mutual fund, series 7, financial, CFA, investment, sales, sales, #internalwholesaler,...
Easily apply

Product Manager, Mutual Funds

ETRADE Financial 81 reviews - Jersey City, NJ
FINRA Series 7, 63 preferred. E*TRADE, a diversified financial services holding company, by and through its subsidiaries, is a global provider of financial...

Syndicate Associate

ETRADE Financial 81 reviews - Jersey City, NJ
This position requires a minimum BA degree, as well as the FINRA Series 7, Series 63. E*TRADE, a diversified financial services holding company, by and through...

Credit Risk Business Analyst

Open Systems Technologies 8 reviews - New York, NY
Familiarity with SEC, FED, FINRA and related methods of computing deductions to net capital. Experience with Impact Analysis - pertaining to Credit Risk...

Compliance Officer

Green Key Resources 21 reviews - New York, NY - +1 location
Provide guidance and advice on SEC, FINRA, Federal Reserve and state regulations and expectations. Bachelors degree in finance or a related field....

Internal Wholesaler Wealth Management

Capital One 1,832 reviews - New York, NY
FINRA Series 66 License or FINRA Series 63 License and FINRA Series 65 License (to be completed within 180 days)....

Compliance Associate (Advertising/Marketing Review)

ACG Resources - New York, NY
Knowledge of investment advisory, FINRA and SEC rules, regulations and standards. The ideal candidate will hold FINRA securities licenses including Series 7 and...
Retail Investments Financial Consultant II
Santander Bank 129 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
Broadway Financial Representative
First Investors 89 reviews - New York, NY
Who we are . . . First Investors Corporation is a Wall Street-based financial services firm, established in 1930. We are proud of our long history of helping...
Sponsored by First Investors - 30+ days ago
Auditor II, Compliance Risk
Santander Bank 129 reviews - New York, NY
Knowledgeable of regulations applicable to financial services organizations, including the Bank Secrecy Act, the USA Patriot Act, US Treasury Anti-Money...
Sponsored by Santander Bank - 30+ days ago

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Company with Finra jobs
89 reviews
First Investors, a recognized leader in financial services, operates in 26 states. Helping families achieve their financial goals.