Finra jobs in New York, NY

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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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Associate Principal Examiner/Principal Examiner- Member Regu...
Finra - 36 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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Global AML Compliance

TD Bank - 2,044 reviews - New York, NY
FINRA Series 7 registered preferred. To lead the AML Compliance function for the TD Securities USA Region that includes the U.S....

Vice President– Head of US KYC Due Diligence

BNP Paribas - 663 reviews - New York, NY
Business Overview: Within Client Management of BNP Paribas, the Global Client On-Boarding team’s objective is to function as the primary interface for

Futures Algorithmic Execution

Quantitative Brokers - New York, NY
FINRA Series 3, 7 and 63 licenses. By joining our innovative, and rapidly growing fintech firm, you will enjoy selling an award winning product suite, with a...
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AM Regulatory Affairs Officer

Deutsche Bank - 827 reviews - New York, NY
Coordinate and/or prepare responses to all ad hoc as well as annual regulatory inquiries and participate in on-site meetings with regulators (e.g., FRBNY, SEC,...

Title: VP, Product Development Analyst Americas

AllianceBernstein - 48 reviews - New York, NY 10105 (Midtown area)
FINRA Series 6, 7, 63 required (can be acquired post hire). Product Development VP works within AB’s Global Client Group who partners with both the firm’s...

Financial Consultant - Upper East Side, NYC

Fidelity Investments - 1,535 reviews - New York, NY
FINRA Series 7 and Series 66 (63/65). Financial Consultant - Upper East Side, NYC....

Market Supervisory Officer

UBS - 732 reviews - New York, NY
Are you risk averse, but risk aware? Do you enjoy building a culture of compliance? We are looking for someone like this to: – regularly evaluate and improve...

Non-Officer – Executive Assistant

BNP Paribas - 663 reviews - New York, NY
Responsibilities : We are currently seeking a Senior Executive Assistant to support the Deputy CEO for CIB Americas. The ideal candidate will be experienced

Help Desk - Technical Associate

Signature Bank - 24 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,

Internal Sales

ETF Securities (US) LLC - New York, NY
FINRA Series 7 & 63. FINRA Series 7 and 63 required. ETF Securities is a leading, independent ETP provider with expertise in commodities....
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BRANCH OFFICE EXAMINER/ COMPLIANCE OFFICER
Confidential - Securities Broker-Dealer - New York, NY
FINRA Series 7, 24, and 63. Maintain working knowledge of compliance regulations, industry topics, and continuing education for FINRA licenses....
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Internal Sales
ETF Securities (US) LLC - New York, NY
FINRA Series 7 & 63. FINRA Series 7 and 63 required. ETF Securities is a leading, independent ETP provider with expertise in commodities....
Easily apply
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Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra - 36 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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