Finra jobs in New York, NY

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Financial Operations Examiner – Market Regulation, Trading &...
Finra - 37 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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Retail Investments Financial Consultant
Santander Holdings USA Inc - Brooklyn, NY
License requirements, including knowledge of FINRA compliance, FDIC compliance,. Retail Investments Financial Consultant - 1600640 Description As a member of...
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Stock Broker Trainee
Laidlaw & Company (UK) - New York, NY
Member FINRA, SIPC*. We offer paid training, sponsorship for FINRA 7 & 66 licenses, and benefits. Currently looking for creative, intelligent and outgoing...
Easily apply
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Financial Services Operations Administrator

United Nations Federal Credit Union - New York, NY 10017 (Midtown area)
$55,000 a year
FINRA Series 7 and FINRA Series 66. CRITICAL / PROFESSIONAL FUNCTIONS:....
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Mutual Fund Internal Wholesaler - Jersey City

AIG - 888 reviews - Jersey City, NJ
FINRA Series 6 & 63 required. SunAmerica Asset Management is one of the nation’s leading producers and distributors of mutual funds and asset management...

Vice President - Fixed Income Surveillance Analyst

BNP Paribas - 688 reviews - New York, NY
Each report surveyed for is connected with specific SEC, CFTC, FINRA, NFA and other SRO regulations; Strong knowledge of fixed income and futures regulations,...

Director - Global Markets Strategy & Development

BNP Paribas - 688 reviews - New York, NY
FINRA Licenses Required:.  Support strategic planning for Global Markets Americas and proactively challenge the strategy....

Quality Assurance Compliance Officer - AVP

Deutsche Bank - 853 reviews - New York, NY
Job ID: 3139970 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2016-09-28 Location: New York, United States of America Compliance At

Compliance Officer

Michael Page US - 108 reviews - New York, NY  +1 location
SEC and FINRA regulations. The incumbent will cover compliance in the areas of:....

Regulatory Audits and Inquiries Compliance Officer

ITG - New York, NY 10017 (Midtown area)
Regulatory environment including – SEC, NYSE, and FINRA rules; Perform annual FINRA Rule 3120 Supervisory Control System testing and reporting....

Compliance Officer

Invesco - 91 reviews - New York, NY 10036 (Clinton area)
FINRA Series 7 and 24 licensed candidates preferred. Experience with the regulatory environment (SEC, CFTC/NFA, FINRA, and ERISA)....

Marketing Manager - MAI

Blackstone - 57 reviews - New York, NY
Understanding of FINRA process around filing; Blackstone is one of the world’s leading investment firms....

Vice President - Regulatory Affairs Specialist

BNP Paribas - 688 reviews - New York, NY
Business overview: The Management of BNP Paribas has committed to ensure compliance with AML / Embargo & Sanctions rules within the entire Group. In this
Stock Broker/Wealth Management Trainee - Entry Level
Coastal Equities, Inc. - New York, NY
$1,200 a month
Coastal Equities, Inc., a FINRA member broker-dealer, is currently looking for candidates to fill the position of stock broker/wealth management trainee at our...
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Associate Principal Examiner/Principal Examiner - Member Reg...
Finra - 37 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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