Finra jobs in New York, NY

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Senior Accountant
Volant Trading - New York, NY 10005
Assist in preparation and submission of monthly/quarterly FINRA reporting requirements. Volant is a technology-driven trading firm made up of a close-knit group...
Legal Assistant
KGS-Alpha Capital Markets, L.P. - New York, NY 10022
(“the Firm”) is a New York based institutional fixed-income broker-dealer, registered with the SEC and FINRA. KGS-Alpha Capital Markets, L.P....
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Assistant General Counsel, Corporate & Securities

Yext - 3 reviews - New York, NY
Assist in handling SEC, FINRA and other regulatory matters. Yext puts business on the map....

Regulatory Controller

Morgan Stanley - 1,827 reviews - New York, NY 10032 (Washington Heights area)
Manage and supervise the reporting of required information to various regulatory agencies including the SEC, FINRA and CME, specifically FOCUS Reporting....

Staff Auditor

Signature Bank - 31 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,

IT Operations Engineer, New York

Berenberg Bank - 5 reviews - New York, NY
Berenberg Capital Markets LLC is a member of FINRA and SIPC in the U.S. IT Operations Engineer, New York....

Analyst I - Market Regulation, Market Manipulation - New Yor...

Finra - 51 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...

CCRO - Floor Surveillance Officer

Credit Suisse - 826 reviews - New York, NY 10022 (Midtown area)
Specifically, an understanding of FINRA, MSRB, SEC and CFTC rules. Credit Suisse is a leading global wealth manager with strong investment banking and asset...

Market Leader- Wealth Management Group

Bank of the West - 576 reviews - New York, NY
Required license(s) or certification(s) FINRA Series 7,66, Insurance required. What sets Bank of the West apart from other banks is our team members–they embody...

Market Leader- Wealth Management Group

BNP Paribas - 1,343 reviews - New York, NY
Required license(s) or certification(s) FINRA Series 7,66, Insurance required. Within their assigned market, responsible for ensuring the attainment of the...

HR Internship

Ameritas Life Insurance Corp - 10 reviews - New York, NY 10012 (Little Italy area)
We are Ameritas. Whatever your calling is, we provide a solid foundation for you to reach your potential and succeed. We are in the business of minimizing
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Cash Management Client Associate

Signature Bank - 31 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,
KYC Advisor
Natixis - 81 reviews - New York, NY
The role of the CIB Compliance Americas Group (“CIB Compliance”) is to ensure that the firm and its employees conduct business in accordance with federal and...
CHIEF SUPERVISORY OFFICER
Confidential - Securities Broker-Dealer - New York, NY
FINRA Series 4, 7, 8, (9/10), 24, 53, 63 and 65 or 66, and 79. In-depth knowledge of FINRA Regulatory rules and the securities industry as it relates to the...
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Associate, Capital Goods Coverage
HSBC - 7,312 reviews - New York, NY
Active FINRA series 7, 63 and 79 required. Supporting one or more Global Relationship Bankers on a number of specific accounts....
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