Finra jobs in New York, NY

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Compliance Officer
Execu | Search 34 reviews - Manhattan, NY
& finance Manage the FINRA exam, Independent AML... Certified AML Officer Broad-based knowledge of FINRA & SEC Rules Emerging market/frontier market... $80,000 - $145,000 a year
Sponsored by Execu | Search - 15 days ago
Fixed Income and Securitized Products Group Compliance Offic...
Execu | Search 34 reviews - Manhattan, NY
inquiries from the SEC, FINRA , and other regulators... related field Working knowledge of SEC, CFTC and FINRA regulations relevant to the fixed income business... $100,000 - $160,000 a year
Sponsored by Execu | Search - 30+ days ago

Financial Services Representative - Entry level or Experienc...

AXA Advisors, LLC - New York, NY
A four-year college degree is preferred and relevant professional FINRA securities registrations are a plus....
Easily apply
11 days ago - save job - email - more...

Chase Private Client Service Associate - Mineola, NY

JPMorgan Chase 5,058 reviews - Mineola, NY
Series 7, Series 63 and 65 or Series 66 registration and the appropriate state Group 1 - Life and Variable Annuity License in addition to meeting FINRA...
1 day ago - save job - email - more...

Control Officer Data Mining

Citi 1,902 reviews - Long Island City, NY
The Compliance Data Mining Analytics Officer will be responsible for developing data analytics in support of Compliance Testing of OCC, SEC, FINRA and Federal...
6 days ago - save job - email - more...

Managing Director - Risk Management & Compliance Governance

McGraw Hill Financial 162 reviews - New York, NY
SCI, MAS FAAN18, FINRA 3190, Data Privacy). Conduct enterprise-wide business impact analyses, segment, process, and product level risk assessments, and system...
2 days ago - save job - email - more...

Private Banking Margin Team Leader - Wealth Management Opera...

Morgan Stanley 651 reviews - New York, NY
Strong knowledge of Regulation T and FINRA 4210 rules. Strong knowledge of Equities, Fixed Income and Short Options....
9 days ago - save job - email - more...

Banking Attorney in New York City, NY

UBS 409 reviews - New York, NY
emphasis on credit trading, including Section V of the 33 Act and rule 10b-5, SEC Rule 144a, Regulation S, Rule 15a-6, Rule 17a-3, 15c3-5 and FINRA Rule...
Law Crossing - 1 day ago - save job - email - more...

Investment Consultant 6th Avenue NY NY

TD Ameritrade 81 reviews - New York, NY
member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE:. AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company...
4 days ago - save job - email - more...

Investment Banking Compliance - AVP/VP

Barclays Investment Bank 10 reviews - New York, NY
Provide in-depth knowledge and experience of the relevant SEC’s, FINRA’s, the Dodd-Frank Act and other securities rules and regulations and syndicated...
2 days ago - save job - email - more...

Trade Surveillance Analyst -

BOC Staffing Solutions - New York, NY
Knowledge of various SEC, FINRA, CBOE, and others exchange and marketplace rules;. Familiarity with patterns of potentially manipulative order placement and... $90,000 - $120,000 a year
1 day ago - save job - email - more...

Compliance Officer

TIAA-CREF 168 reviews - New York, NY 10002 (Lower East Side area)
Knowledge of the Investment Advisers Act of 1940, FINRA rules is required. Knowledge of plan regulations 403(b), 401(k) in support of Direct to Consumer and...
30+ days ago - save job - email - more...
Senior Compliance Officer- multiple openings
Selby Jennings - United States
prominent compliance risks Work extensively with FINRA and SEC regulators Lead compliance team as well as... date knowledge of SEC and FINRA regulations 5-8 years... $140,000 a year
Sponsored by TotalJobs.com - 3 days ago
Financial Sales Advisors/ Financial Consultant/ Sales Profes...
AXA Advisors, LLC. - New York, NY
FINRA securities registrations are a plus. You will be required to attain under the sponsorship of AXA Advisors: state life and health licenses, FINRA Series 7...
Easily apply
Sponsored by AXA Advisors, LLC. - 25 days ago
Penn Plaza Financial Representative
First Investors 68 reviews - New York, NY
degree or equivalent work experience First Investors is a member of: FINRA (Financial Industry Regulatory Authority) ICI (Investment Company Institute) ASBO...
Sponsored by First Investors - 10 days ago
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Company with Finra jobs
68 reviews
First Investors, a recognized leader in financial services, operates in 26 states. Helping families achieve their financial goals.
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