Finra $110,000 jobs in New York, NY

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Investment Executive
Harley Capital LLC, a branch of National Securities - New York, NY 10017
Job Description Harley Capital LLC is a branch of National Securities Corp., one of the largest independent broker-dealers in the U.S. Our team is in...
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Compliance Analyst
Tradeweb Markets LLC - 10 reviews - New York, NY 10036
Maintain current knowledge and awareness of SEC, CFTC, FINRA, and NFA regulations and rules. Tradeweb is seeking a Compliance Analyst, a position that will...
Director, Regulatory Risk
Prudential - 1,584 reviews - Newark, NJ 07102
§ FINRA, SEC or DOI Regulator. Do you have a solid familiarity with financial services regulations governed by FINRA, SEC, and/or State Departments of Insurance...

Senior Compliance Officer; Trading Products

BMO Financial Group - 1,456 reviews - New York, NY
Particularly SEC and FINRA. The Capital Markets Compliance, Vice President assists Compliance management in the effective implementation, maintenance and...

Director of Client Services for Retirement plan and Investme...

CPS, Inc. Retirement Industry - Manhattan, NY
$200,000 - $250,000 a year
FINRA licenses Series 6 and 63. Director of Client Service for Retirement Plans and Investments*....
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Venture - Principal

SeedInvest - New York, NY 10012 (Little Italy area)
$100,000 - $120,000 a year
Since then, SeedInvest has worked closely with members of the SEC, FINRA, the White House, and the Treasury Department on the implementation of the JOBS Act....
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Audit Manager - Credit

Signature Bank - 43 reviews - New York, NY
Join a winning team! Signature Bank® has been ranked among the Top 10 on Forbes' list of Best Banks in America for six consecutive years! Signature Bank,...

Compliance, Regulatory Practice Group, Core Compliance, Asso...

Goldman Sachs - 1,019 reviews - New York, NY 10282 (Tribeca area)
Assist in the development of meeting material to be used during the Supervisory Certification meetings in support of Volcker, FINRA and other regulatory...

Vice President

JP Morgan Chase - 16,044 reviews - New York, NY 10179 (Midtown area)
This position requires Series 63 and 79 FINRA licenses. Set up meetings with clients to bring firm's resources to them....

Financial Consultant -Park Ave., NYC (Pipeline)

Fidelity Investments - 2,263 reviews - New York, NY 10002 (Lower East Side area)
FINRA Series 7 & 63 required prior to hire. With your superior knowledge and incomparable integrity, we know that clients invest their trust in you....

Investment Banking Compliance Analyst / Associate - New York

Jefferies & Company, Inc. - New York, NY
Review potentially noncompliant internal and external email traffic sent by United States based Investment Banking staff to ensure that Jefferies and FINRA...

Compliance Associate

Cadre - 7 reviews - New York, NY
FINRA Series exam qualifications preferred but not required. The role requires not only a strong understanding of the core rules and regulations underpinning...

Senior Compliance Officer

Citi - 12,053 reviews - Long Island City, NY 11101
Provide subject matter expertise tailored to the Commercial Bank on Dodd-Frank Article VII (Derivatives) and FINRA rules;...
Investment Advisers Act of 1940 Omega Global Partners – New...
Omega Global Partners - New York, NY
Consult, prepare and file investment adviser and broker-dealer applications with the Securities and Exchange Commission (SEC), FINRA and states....
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Capital Markets Oversight Manager
State Street - 1,515 reviews - New York, NY
FINRA Series 7 and 63. The Markets Oversight Manager role for the Global SPDR ETF business is an exciting meaningful and highly transparent position within the...