Finra $100,000 jobs in New York, NY

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IT Advisory Manager, Financial Services, Regulatory Complian...
EY - 3,778 reviews - New York, NY
FINRA, SEC broker-dealer regulations (e.g., Reg. You may also be involved in helping the team understand and comprehend existing and proposed regulations from...
Financial Consultant - Stamford, CT (Pipeline)
Fidelity Investments - 1,883 reviews - Stamford, CT 06901
FINRA Series 7 & 63 required prior to hire. Financial Consultant - Stamford, CT (Pipeline)....
Financial Professional
Retirement Benefits Group - Woodbury, NY 11797
The named individual offers securities through AXA Advisors, LLC (member FINRA, SIPC), and, as an agent of AXA Network, LLC, offers the annuity and life...
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Associate-Trading, SEC8717HLEQ

Goldman Sachs - 897 reviews - New York, NY 10282 (Tribeca area)
FINRA Series 7, 63 and 55 eligibility required. Associate-Trading with Goldman Sachs & Co....

Associate – Junior Consultant

BNP Paribas - 1,535 reviews - New York, NY
MBA preferred FINRA Registrations:. Founded in 2013, Consulting Americas works closely with BNPP’s executive management and senior leadership to:....

Senior Compliance Specialist

Investment Technology Group (ITG) - 7 reviews - New York, NY
Knowledge of Regulatory Reporting Rules, including trade reporting, OATS, Electronic Bluesheets Knowledge of SEC and FINRA Regulations Experience with...

Associate - ALM Treasury Associate

BNP Paribas - 1,535 reviews - New York, NY
FINRA Registrations Required:. ALM Treasury is a Transversal Activity within BNP Paribas Group....

Associate - Intermediate - Trading/VP - SEC82117MW

Goldman Sachs - 897 reviews - New York, NY 10282 (Tribeca area)
FINRA Series 7 and 63 licenses required. Associate-Intermediate-Trading/VP with Goldman Sachs & Co....

Associate - Debt Syndicate

Scotiabank - 2,289 reviews - New York, NY
Expertise on Bloomberg, our new issue book building system, trade booking procedures and FINRA TRACE requirements....

Associate/Senior Associate, Regulatory Risk

KPMG - 3,523 reviews - New York, NY 10154 (Midtown area)
Knowledge of SEC rules, FINRA rules, and financial and operational issues affecting broker dealers. Assist clients by providing regulatory analysis of the...

Associate - Financial Modelling

BNP Paribas - 1,535 reviews - New York, NY
FINRA Registrations Required:. BNP Paribas Capstar Partners is a business division of BNP Paribas Securities Corp., specialized in advising clients with respect...

Complex Risk Officer

Morgan Stanley - 2,021 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and...

WM Compliance- Equities Compliance Coverage

Morgan Stanley - 2,021 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of broker-dealer regulatory compliance including FINRA, NYSE and SEC regulations. Assist in the design and maintenance of written supervisory...
IT Advisory Senior, Financial Services, Regulatory Complianc...
EY - 3,778 reviews - New York, NY
Basic understanding of FINRA, SEC broker-dealer regulations (e.g., Reg. You may also be involved in helping the team review and comprehend existing and proposed...
Financial Consultant - Rockefeller Center, NYC
FINRA Series 7 & 63 required prior to hire. Financial Consultant - Rockefeller Center, NYC....

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