Finra $100,000 jobs in New York, NY

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Regional Head of US Compliance
Barclay Simpson - Manhattan, NY
$160,000 - $185,000 a year
Expertise in SEC and FINRA regulations is required. Our client is a global private equity and private debt business that manages capital on behalf of...
Sponsored by Barclay Simpson - 3 days ago
Investment Bank Compliance Monitoring & Testing - VP
The Compliance Search Group - New York, NY
Basic Qualifications Bachelor’s Degree 4+ year’s regulatory, audit or operational risk management experience in a global investment bank or with a regulator 4+...
Sponsored by TheLadders.com - 19 days ago
Regional Head of US Compliance
Barclay Simpson USA - New York, NY
$150,000 - $180,000 a year
Expertise in SEC and FINRA regulations is required. You will report to the global CCO and be responsible for managing the firm’s compliance monitoring programme...
Sponsored by eFinancialCareers - 3 days ago

Sr Manager Product Management

Capital One 1,712 reviews - New York, NY
FINRA Series 7 and 66. Capital One is experiencing exciting growth and transformative change....
9 days ago - save job - email - more...

Control Officer

UBS 493 reviews - New York, NY - +1 location
The Control Officer is responsible for performing delegated supervisory functions for the complex/branch and ensuring that the complex is in compliance with
2 days ago - save job - email - more...

Sr Specialist Digital Projects

TD Ameritrade 93 reviews - Jersey City, NJ
Job Title: Sr Specialist, Digital Projects Job ID: 104573 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager
2 days ago - save job - email - more...

Mgr Category Management Operations & Services

TD Ameritrade 93 reviews - Jersey City, NJ
Job Title: Mgr, Category Management - Operations & Services Job ID: 104600-2 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type
1 day ago - save job - email - more...

Product Manager

AIG 412 reviews - New York, NY
FINRA licenses 7, 65/66 preferred. The Product Manager of Platform Management and Development will assist in creating the strategic vision for the firm’s...
3 days ago - save job - email - more...

Investment Banking Compliance – AVP/VP

Barclays 753 reviews - New York, NY
About Barclays Barclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking
25 days ago - save job - email - more...

Compliance Review Examiner - AVP/VP

Drum Associates - New York, NY
Op) related rules for FINRA, SEC, CFTC and NFA (or any combination thereof). Our client, an international bank with offices in NYC, is seeking a Compliance...
5 days ago - save job - email - more...

Assistant Vice President Compliance

International Market Recruiters 11 reviews - New York, NY
$115,000 a year
Strong knowledge of SEC and FINRA rules and regulations. Our client, a top tier investment banking firm, located in New York, NY, is seeking an Assistant Vice...
Easily apply
2 days ago - save job - email - more...

Senior Compliance Officer

Michael Page 51 reviews - Manhattan, NY
$100,000 - $120,000 a year
Manage and maintain WCM registrations on FINRA Firm Gateway. Oversee compliance with SEC, FINRA and state rules and regulations governing broker/dealer...
1 day ago - save job - email - more...

Head of Retirement Marketing Program Manager

ING Financial Services 123 reviews - New York, NY
FINRA Series 6 ,7 or 63 a plus What else can we tell you? Voya Investment Management (Voya IM) looking for a highly motivated, creative, marketing professional...
21 hours ago - save job - email - more...
Compliance Officer - Tradebook Job
Bloomberg 161 reviews - New York, NY
The ideal candidate will have surveillance related experience specifically at a regulated broker/dealer or FINRA and should be familiar with FINRA rules as they...
Sponsored by Bloomberg - 12 days ago
Head of Communications Services
TD Ameritrade 93 reviews - Jersey City, NJ
Job Title: Head of Communications Services Job ID: 104462 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager
Sponsored by TD Ameritrade - 18 days ago

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