Finra jobs in New York, NY

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Stock Broker/Wealth Management Trainee - Entry Level
Coastal Equities, Inc. - New York, NY 10005
Coastal Equities, Inc., a FINRA member broker-dealer, is currently looking for candidates to fill the position of stock broker/wealth management trainee at our...
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Business Development Officer Sr - Wealth Management (FMLO)
PNC Financial Services Group - 3,770 reviews - West Harrison, NY 10604
FINRA Series 7 & 66 ( or 63/65). At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve....

Regulatory Reporting Analyst

Morgan Stanley - 2,077 reviews - New York, NY 10032 (Washington Heights area)
Respond on issues and answer questions related to rules and regulations of the SEC, FINRA, CFTC and other regulatory agencies....

Associate – Junior Consultant

BNP Paribas - 1,573 reviews - New York, NY
MBA preferred FINRA Registrations:. Founded in 2013, Consulting Americas works closely with BNPP’s executive management and senior leadership to:....

Senior Compliance Officer

Marsh - 139 reviews - New York, NY
The Senior Compliance Officer is responsible for supporting the compliance agenda for an SEC registered investment adviser and FINRA broker-dealer and providing...

Senior Compliance Officer

Marsh & McLennan Companies - 382 reviews - New York, NY
The Senior Compliance Officer is responsible for supporting the compliance agenda for an SEC registered investment adviser and FINRA broker-dealer and providing...

Associate Examiner - Member Regulation, Sales Practice - New...

Finra - 60 reviews - New York, NY
All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of...

Control Account Review Associate

Signature Bank - 38 reviews - New York, NY
Join a winning team! Signature Bank® has been ranked among the Top 10 on Forbes' list of Best Banks in America for six consecutive years! Signature Bank,...

Audit Associate

SeedInvest - New York, NY 10012 (Little Italy area)
$70,000 - $80,000 a year
Since then, SeedInvest has worked closely with members of the SEC, FINRA, the White House, and the Treasury Department on the implementation of the JOBS Act....

IBD, Financing Group, REFG - Capital Markets, New York, Asso...

Goldman Sachs - 922 reviews - New York, NY 10282 (Tribeca area)
Candidates who return full-time will benefit from gaining a diverse skill set and will be trained for a wider set of FINRA licenses than other IBD Financing...

Biotech External/Internal Wholesaler

LifeSci Advisors - New York, NY 10019 (Midtown area)
LifeSci Advisors provides companies in the life sciences industry with comprehensive solutions to communications and investor outreach. LifeSci Advisors...
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1290 Funds Internal Wholesaler

AXA - 578 reviews - New York, NY
Stays current on rules and regulations of selling securities as outlined by FINRA, the SEC, states and all internal guidelines established....
Downtown NYC Financial Representative
Who we are . . . Foresters Financial Services, Inc. provides everyday families and individuals with financial solutions, guidance, and tools, to meet their...
Financial Consultant
AXA - New York, NY
State life and health licenses, FINRA Series 7 and 66 registrations. A four-year college degree is preferred and relevant professional FINRA securities...
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Analyst, Infrastructure and Real Estate Group
HSBC - 8,318 reviews - New York, NY
FINRA series 63 and 79 licenses are required. To participate in advisory (debt & M&A) and debt arranging transactions across the infrastructure, energy, power,...
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