Finra $110,000 jobs in New York, NY

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Originator, Global Infrastructure and Projects Latam
Natixis - 75 reviews - New York, NY
FINRA Licenses 79 and 63 is a plus (otherwise will be required to take these licenses shortly after joining the team)....
Sr Manager, DOL and Retirement - Compliance
TD Ameritrade - 265 reviews - Jersey City, NJ
Knowledge of FINRA supervisory obligations relative to dually registered RRs/IARs. Advice provided related to existing SEC, FINRA, MSRB, SRO, rules and...
Senior Compliance Officer - Equities Technology
Citi - 9,081 reviews - New York, NY 10261
Primary Location: United States,New York,New York Education: Bachelor's Degree Job Function: Compliance and Control Schedule: Full-time Shift: Day Job...

Corporate Compliance-Exam Manager-Vice President

JPMorgan Chase - 12,553 reviews - New York, NY
Experience working at a financial services firm or a regulator on regulatory examinations by the SEC, FINRA, or other securities regulators highly desirable....

AVP - Global Equity and Commodity Derivatives Valuation Spec...

BNP Paribas - 1,229 reviews - New York, NY 10019 (Midtown area)
About BNP Paribas: BNP Paribas Group BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 75 countries, with more...
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Regulatory Affairs Compliance Officer

ITG - 13 reviews - New York, NY 10017 (Midtown area)
Regulatory environment including - SEC, NYSE, and FINRA rules; Oversee annual FINRA Rule 3120 Supervisory Control System testing and reporting....

Originator, Global Infrastructure and Projects Latam

Natixis - 75 reviews - New York, NY
FINRA Licenses 79 and 63 is a plus (otherwise will be required to take these licenses shortly after joining the team)....

Compliance Officer

Fiera Capital Inc. - New York, NY
Strong working knowledge of FINRA and NFA regulations. Working closely and directly with both the CCO and General Counsel, this role will be proactively...
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MSWM Fixed Income Compliance Coverage

Morgan Stanley - 1,698 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of relevant industry rules and regulations enforced by SEC and FINRA. Morgan Stanley is a leading global financial services firm providing a wide...

eRates Specialist

BNP Paribas - 1,229 reviews - New York, NY
FINRA Registrations Required:. As a primary dealer with the US Treasury BNP Paribas is a key participant in the US rates markets:....

Investment Advisory Platform Manager

Advisor Group - 5 reviews - New York, NY
FINRA Series 66. The Investment Advisory Platform Manager of Platform Management and Development will assist in creating the strategic vision for the firm’s...
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Vice President - Regulatory Examinations Specialist

BNP Paribas - 1,229 reviews - New York, NY
Business Overview: Supervisory Affairs is one of three divisions in a rapidly expanding Public Policy and Regulatory Affairs team (“PPRA”) for BNPP’s IHC and

Complex Risk Officer

Morgan Stanley - 1,698 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. Job....
Private Banking Team Manager, New York, New York
Popular - 14 reviews - New York, NY 10004
FINRA Series 6, FINRA Series 7, FINRA Series 63 and 65 or 66. Join the Popular Team!...
U.S. Head of Compliance
Tradeweb Markets LLC - 2 reviews - New York, NY 10036
Liaise with all relevant industry regulators, including without limitation SEC, CFTC, FINRA and MSRB. Tradeweb is seeking a U.S....

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