Finra jobs in New York, NY

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Regulatory Coordinator - Member Regulation, ROOR- New York,...
Finra 25 reviews - New York, NY
Provide FINRA management with current firm information and assist FINRA management in resolving problem situations. FINRA abides by the requirements of....
Sponsored by Finra - 4 days ago
Financial Sales/ Sales Management/Investments
New York Life - Greater New York General Office - New York, NY
FINRA Series 7, Series 6/63 a plus (company sponsorship available). New York Life, Greater New York is seeking motivated, ambitious individuals with previous...
Easily apply
Sponsored by New York Life - Greater New York General Office - 27 days ago

Customer Compliance Regulatory Specialist

Guardian Life of America 95 reviews - New York, NY
Knowledge of FINRA and SEC Rules. Excellent knowledge of FINRA and SEC Rules; Excellent knowledge of FINRA Regulatory filings involving Rule 4530, U4s, U5s,...
20 days ago - save job - email - more...

Control Analyst

UBS 509 reviews - New York, NY
The Control Analyst is responsible for performing delegated supervisory functions and to ensure compliance with firm risk management guidelines and policies.
6 days ago - save job - email - more...

Broker/Dealer Compliance Officer - NY

Bessemer Trust Company - New York, NY
Prepare for FINRA examinations. It is important that this individual be highly conversant with FINRA rules and regulations with respect to broker dealer....
13 days ago - save job - email - more...

Supervisory Principal Long Island City

Citi 2,299 reviews - Long Island City, NY - +1 location
Knowledge of FINRA and SEC Rules and Regulations. Brief Description of the Organization Citi, the leading global financial services company, has some 200...
2 days ago - save job - email - more...

Senior Specialist, Call Coach

New York Life Insurance Co 609 reviews - New York, NY
FINRA Series 6 required, or attained within six months. New York Life Insurance Company (“New York Life”) is the largest mutual life insurance company in the...
New York Life Insurance Company - 10 days ago - save job - email - more...

FUND MANAGEMENT COMPLIANCE DIRECTOR

- New York, NY
$225,000 a year
Provide compliance support for fund marketing activities pursuant to applicable regulations, including SEC and FINRA requirements....
Jobs in Risk - 11 days ago - save job - email - more...

Head of Compliance Delivery & Execution Team – Director

Barclays 783 reviews - New York, NY
5+ years of experience with regulatory rules including those of the FSA, SEC, CFTC, NFA, FINRA, and Federal Reserve/OCC experience....
4 days ago - save job - email - more...

Financial Service Representative

Amalgamated Bank - Bronx, NY
FINRA series 6 or 7, 63 & 65, or 66. The Dedicated Representative must be able to successfully sell financial products in a bank or office environment....
Easily apply
3 hours ago - save job - email - more...

Retirement Counselor - NYC

Prudential Financial, Inc. 2 reviews - New York, NY 10011 (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...
Prudential - 25 days ago - save job - email - more...

Regulatory Exams Compliance Officer

Credit Suisse 321 reviews - New York, NY
Manage regulatory exams initiated by the SEC, FINRA and other SROs. Obtain, review and organize documents to be produced in connection with regulatory exams;...
30+ days ago - save job - email - more...
Retail Investments Financial Consultant II
Santander Bank 120 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 - 19 days ago
Senior Analyst Problem Management
TD Ameritrade 99 reviews - Jersey City, NJ
Job Title: Senior Analyst, Problem Management Job ID: 104498 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular
Sponsored by TD Ameritrade - 30+ days ago
Central Jersey Financial Representative
First Investors 89 reviews - Woodbridge, NJ
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
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Company with Finra jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.