Finra jobs in New York, NY

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Stock Broker Trainee
Global Arena Capital - New York, NY
RECENT COLLEGE GRADUATES for Stock & Bond Broker Trainee position. We are a FINRA/SIPC member firm on 6th Avenue in Midtown Manhattan (near Citibank, UBS). We...
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Sponsored by Global Arena Capital - 3 days ago
Editor (Arbitration)
Thomson Reuters 686 reviews - New York, NY
content (e.g., AAA/ FINRA/JAMS guides, ICC terms of... Comprehensive Arbitration Rules & Procedures. FINRA Codes of Arbitration Procedure. arbitral institution...
Sponsored by Thomson Reuters - 18 days ago

Attorney, Sales Practice Policy - New York, NY

Finra 19 reviews - New York, NY
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our. To be considered for this position, please submit your...
24 days ago - save job - block - email - more...

Regulatory Reporting Compliance Officer

Morgan Stanley 670 reviews - New York, NY
The Regulatory Reporting Team’s responsibilities center on disclosure of interest reporting and other FINRA and SEC reporting performed by Operations....
16 days ago - save job - block - email - more...

Compliance Examiner - Member Regulation, Sales Practice - Wo...

Finra 19 reviews - Woodbridge, NJ - +2 locations
FINRA is seeking a well qualified individual for our. To be considered for this position, please submit your resume through our careers site-no phone calls,...
30+ days ago - save job - block - email - more...

Operational Risk Manager- Corporate Equity Solutions

Morgan Stanley 670 reviews - New York, NY
Knowledge of SEC, NYSE, FINRA and familiarity with AML, BSA and OFAC programs. order handling, regulatory reporting requirements preferred....
7 days ago - save job - block - email - more...

Compliance Associate

Perella Weinberg Partners 2 reviews - New York, NY
Complete submission of FINRA Exam Waivers into the CRD;. Monitors CRD for registered representative and firm deficiencies;....
9 days ago - save job - block - email - more...

Compliance Officer

Green Key Resources 16 reviews - New York, NY - +1 location
Provide guidance and advice on SEC, FINRA, Federal Reserve and state regulations and expectations. Provide guidance and advice on internal policy requirements.... $125,000 - $170,000 a year
23 hours ago - save job - block - email - more...

Securities Compliance Specialist II

M&T Bank 283 reviews - New York, NY
Extensive knowledge of NASD, FINRA, MSRB, and SEC regulations, as well as the state regulations of those states in which the firm conducts business, or those in...
4 days ago - save job - block - email - more...

Life Sales Specialist

Nationwide Mutual Insurance Company 582 reviews - New York, NY
FINRA Series 6 or 7 & 26 or 24, and Life licenses. Associates must obtain the required Federal and/or state licenses/registrations within the time period...
4 days ago - save job - block - email - more...

Research Associate

Wunderlich Securities, Inc. - New York, NY
Wunderlich Securities is a Memphis-based Investment firm and member of FINRA (Financial Industry Regulatory Authority) and SIPC (Securities Investor Protection...
11 days ago - save job - block - email - more...

Stock Broker Trainee

Global Arena Capital - New York, NY 10019 (Midtown area)
We are a FINRA/SIPC member firm on 6th Avenue in Midtown Manhattan (near Citibank, UBS). We are NOT looking for an analyst or researcher;....
Easily apply
3 days ago - save job - block - email - more...
Consolidated Supervised Entity Examiner - Member Regulation,...
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 - 13 hours ago
Investment Consultant 6th Avenue NY NY
TD Ameritrade 83 reviews - New York, NY
We value diversity and offer a quality workplace. TD Ameritrade, Inc. member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD...
Sponsored by TD Ameritrade - 27 days ago
Retail Investments Financial Consultant II
Santander Bank 81 reviews - New York, NY
professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement and all...
Sponsored by Santander Bank - 25 days ago
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