Finra jobs in New York, NY

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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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Financial Advisor
FINRA Series 7, State Securities (S63 or S66), State IAR (S65 or S66), State Life, Accident and Health Insurance and Variable Contracts....

Global Markets Trade Support Analyst

Natixis - 92 reviews - New York, NY
Company Description Natixis is the international corporate, investment, insurance and financial services arm of Groupe BPCE, the 2nd-largest banking group in

Sales Assistant

Windsor Street Capital - Manhattan, NY
$50,000 a year
Position will require obtaining FINRA Series 7 and 63 or 66 licenses. Windsor Street Capital is a boutique full-service investment banking and brokerage firms....
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Investment Lab Analyst

Citi - 10,775 reviews - New York, NY
Qualification or progress toward FINRA Series 7, 63/65 or 66. United States,New York,New York....

Internal Sales Specialist

Blackstone - 82 reviews - New York, NY
FINRA Series 7 & (63/65 or 66) required. Internal Sales Specialists are part of the Blackstone Private Wealth Solutions ("PWS") group....

Asset and Wealth Management, 2018 ReEntry Program

JP Morgan Chase - 14,465 reviews - New York, NY 10017 (Midtown area)
Morgan Securities Inc., member FINRA, NYSE and SIPC. Asset and Wealth Management....

Dedicated Retirement Counselor

Prudential - 1,319 reviews - New York, NY  +3 locations
FINRA Series 6 & 63 licenses required. The primary responsibility of the Retirement Counselor is to provide retirement education and expertise to our clients...

Associate - Intermediate - Trading/VP - SEC82117MW

Goldman Sachs - 895 reviews - New York, NY 10282 (Tribeca area)
FINRA Series 7 and 63 licenses required. Associate-Intermediate-Trading/VP with Goldman Sachs & Co....

Financing Specialist - IAB

Société Générale - 1,111 reviews - New York, NY
Must have FINRA Series 79 and 63 licensing after commencement of employment. Use strong communication skills (verbal and written) to assist and support senior...

Junior Compliance Generalist

Crédit Agricole CIB - 418 reviews - New York, NY
The Firm's regulators, including but not limited to FINRA, SEC, NFA, and CFTC. Crédit Agricole CIB is the Corporate and Investment Banking arm of the Crédit...

WM Compliance- Equities Compliance Coverage

Morgan Stanley - 2,014 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of broker-dealer regulatory compliance including FINRA, NYSE and SEC regulations. Assist in the design and maintenance of written supervisory...
IT Advisory Senior, Financial Services, Regulatory Complianc...
EY - 3,764 reviews - New York, NY
Basic understanding of FINRA, SEC broker-dealer regulations (e.g., Reg. You may also be involved in helping the team review and comprehend existing and proposed...
Vice President – IT Governance, Controls and Program Managem...
BNP Paribas - 1,530 reviews - New York, NY
About BNP Paribas: BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 74 countries, with more than 192,000 employees,...
IT Advisory Manager, Financial Services, Regulatory Complian...
EY - 3,764 reviews - New York, NY
FINRA, SEC broker-dealer regulations (e.g., Reg. You may also be involved in helping the team understand and comprehend existing and proposed regulations from...
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