Finra $110,000 jobs in New York, NY

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Retail Investments Financial Consultant
Santander Bank 150 reviews - Flushing, NY
Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy...
Sponsored by Santander Bank
Compliance Officer - Asset Management
Drum Associates - New York, NY
Knowledge of SEC and FINRA regulations. FINRA Series 7 and 24 a plus. Experience reviewing advertising material for compliance with FINRA regulations....
Easily apply
Sponsored by Drum Associates
Compliance Officer
Russell, Tobin & Associates, LLC - New York, NY
Our client is a leading banking group looking for a compliance officer to join their New York, NY office. This is a contract opportunity. Responsibilities...
Easily apply
Sponsored by Russell, Tobin & Associates, LLC

VICE PRESIDENT, PORTFOLIO CONSULTANT

Barclays 882 reviews - New York, NY
And FINRA Series 3, 7 and/or 66. Vice President, Portfolio Consultant....

Regulatory Compliance Consultant – Investment Advisory Focus

The SDDCO Group - New York, NY 10022(Midtown area)
Managing the filing of FINRA applications; Assisting clients with FINRA sales practice exams; Working knowledge of securities regulations and FINRA Rules....
Easily apply

Private Placement Agent for Alternative Investment Funds

Meyler Capital - New York, NY
Meyler Capital is founded on the belief that the capital raising process is ripe for change. We take the approach that generating asset momentum requires a
Easily apply

Financial Planning Supervisory Principal

Guardian Life Insurance Company 109 reviews - New York, NY
Must possess FINRA Series 7, 24, and 65/66 registrations. As part of the National Control Office team, the Financial Planning Supervisory Principal will be...

VP Premier Relationship Manager

HSBC 2,737 reviews - New York, NY
Refer investment opportunities to Premier Relationship Advisors and Premier Wealth Advisors pursuant to appropriate FINRA registrations under HSBC Securities...

Registration Compliance Officer

Morgan Stanley 894 reviews - New York, NY
The individual will be responsible for corporate registration filings, including maintenance of Forms BD, ADV and 7R, annual update filings and specialized...

Compliance Manager - Political Law

Prudential 735 reviews - Newark, NJ
Compliance Manager - Political Law - SHA0000F Description The Political Law Compliance team, a part of the Corporate Compliance function, is responsible...

IHC - Vice President, Lead of Data Analysis Team

BNP Paribas 431 reviews - New York, NY
FINRA Registrations Required:. The IHC CCAR Program Office ensures that appropriate solutions are put in place for the CCAR Capital Planning’s Reporting and...

VP, Andean Economist

Barclays 882 reviews - New York, NY
FINRA Series 7 and 63 certifications required within six (6) months of hire. Barclays Capital Inc....

Investment Consultant Great Neck NY

TD Ameritrade 123 reviews - Great Neck, NY
Job Title: Investment Consultant - Great Neck, NY Job ID: 104815 Job Location: Great Neck, New York Employment Type: Full-Time Contract Type: Regular
VP Premier Relationship Manager
HSBC 2,737 reviews - New York, NY
Refer investment opportunities to Premier Relationship Advisors and Premier Wealth Advisors pursuant to appropriate FINRA registrations under HSBC Securities...
Sponsored by HSBC
Branch Relationship Banker
HSBC 2,737 reviews - Brooklyn, NY
Refer investment opportunities to Financial Advisors pursuant to appropriate FINRA registrations under HSBC Securities (USA) Inc....
Sponsored by HSBC

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Company with Finra $110,000 jobs
Drum Associates is a premier provider of executive human capital solutions.