Finra jobs in New York, NY

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Corporate Credit Compliance Professional - Finance and Inves...
Morgan Stanley 706 reviews - New York, NY
Knowledge of SEC, CFTC and FINRA regulations relevant to the Corporate Credit business areas. Assist in preparing responses to regulatory inquiries from the SEC...
Sponsored by Velvet Jobs - 7 days ago
Chief Compliance Officer - Finance and Investment Industry O...
SEC Registered Investment Adviser - New York, NY
Knowledge of FINRA rules and regulations a plus. The ideal candidate will act as the Chief Compliance Officer of a SEC registered investment adviser and support...
Sponsored by Velvet Jobs - 7 days ago
Broker Dealer Compliance Officer - Finance and Investment In...
Morgan Stanley 706 reviews - New York, NY
Annual Report on Supervisory Controls, FINRA Rule 4530 disclosures); FINRA registered Series 7 and Series 24 representatives preferred....
Sponsored by Velvet Jobs - 3 days ago

Markets Compliance Officer

Deutsche Bank 470 reviews - New York, NY
Knowledge of FINRA Rules related to OATS and TRF Reporting is a plus. Knowledge of the US rules governing Equity Trading and other key rules and regulations (e...
19 days ago - save job - email - more...

IBD Compliance Advisory -Director

Barclays Investment Bank 11 reviews - New York, NY
Barclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in
1 day ago - save job - email - more...

INVESTMENT BANKING POSITIONS (VICE PRESIDENT LEVEL

CREDIT SUISSE 273 reviews - New York, NY 10010 (Gramercy area)
FINRA Series 7 & 63 licenses required. Investment Banking Positions (Vice President level) available in our NY, NY office....
New York Times - 5 days ago - save job - email - more...

Operations Regulatory Reporting Manager

Jefferies & Company, Inc. - Jersey City, NJ
Additional knowledge of Dodd Frank and EMIR regulations will be preferred and the candidate will be expected to broaden their knowledge of these other...
3 days ago - save job - email - more...

Regulatory Operations Analyst

Nomura Holdings, Inc. - New York, NY
CFTC, SEC, & FINRA Broker-Dealer rules & regulations preferred. The US Regulatory Operations team works with business....
30 days ago - save job - email - more...

Client Service Analyst

Russell Investments 16 reviews - New York, NY
FINRA, Series 7 and 63 required, or to be obtained within 90 days. This position will provide outstanding service Russell’s institutional clients, exceeding...
10 days ago - save job - email - more...

Internal Wholesaler (5941)

New York Life Insurance Co 520 reviews - New York, NY
FINRA Series 6 or 7 (based on assigned channel) and 63 licenses required. New York Life Investments, a wholly owned subsidiary of New York Life Insurance...
New York Life Insurance Company - 6 days ago - save job - email - more...

Associate Director, Operations Compliance, Capital Markets

BMO Financial Group 67 reviews - Jersey City, NJ
OCC, FINRA, SEC, Capital Markets, Institutional Operations Compliance. Reporting into the Director, Operations Compliance - Independent Controls, this role will...
6 days ago - save job - email - more...

Long Island Sales Assistant

First Investors 75 reviews - Westbury, NY
V FINRA licensing may be required (S6/S63). V Prospecting and telephone techniques (if you become FINRA licensed)....
7 hours ago - save job - email - more...

Associate, Institutional Client Advisor

Michael Page USA - New York, NY
$100,000 - $120,000 a year
FINRA Series 7 and 66 required. The Associate, Institutional Client Advisor will work in the Institutional Client Group alongside a Senior Client Advisor based...
Michael Page - 8 days ago - save job - email - more...
Anticipated Private Client Advisor - Chase Private Client -...
JPMorgan Chase 5,435 reviews - Brooklyn, NY
Series 7 & 63 registration required in addition to meeting FINRA continuing education requirements, Series 65 or 66 registration required and the appropriate...
Sponsored by JPMorgan Chase - 30+ days ago
Municipal Securities Compliance Professional - Finance and I...
Morgan Stanley 706 reviews - New York, NY
Knowledge of broker-dealer regulatory compliance including MSRB, FINRA, and SEC regulations; Candidate will be expected to advise on MSRB, FINRA, and SEC rules,...
Sponsored by Velvet Jobs - 7 days ago
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