Finra $110,000 jobs in New York, NY

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Chief Compliance Officer
Confidential - Broker Dealer - New York, NY
Deep expertise in SEC and FINRA compliance issues. Responsible for compliance monitoring and testing related to FINRA and SEC regulations and coordinating and...
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Financial Crimes - Surveillance & AML Technology Manager
Crowe Horwath LLP 66 reviews - New York, NY
Position Summary We are seeking an experienced Financial Crimes - Surveillance and AML Technology Manager in our Risk Consulting Regulatory and Compliance
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Information Technology Specialist, Financial Market Infrastr...
Federal Reserve Bank of New York 293 reviews - New York, NY
Developing and maintaining relationships with other agencies (SEC, FINRA, etc.). Information Technology Specialist, Financial Market Infrastructure - Financial...
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Vice President, Compliance Regulatory Analyst

BNP Paribas 541 reviews - New York, NY
FINRA Registrations Required:. Significant experience with SEC, FINRA, CFTC, NFA and other regulators and familiarity with rules relating to broker-dealers....

Compliance Advisory

Natixis 58 reviews - New York, NY
Federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, the Federal Reserve Bank, the...

Supervisory Principal

Citi 2,878 reviews - New York, NY
Knowledge of Rules and Regulations (i.e., FINRA). DescriptionCiti Private Bank is a unit of Citigroup....

Corporate Compliance - AML Surveillance - Associate - New Yo...

JPMorgan Chase 8,104 reviews - New York, NY
Corporate Compliance - AML Surveillance - Associate - New York - 160002831 Job Description JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial

CIB F&BM Treasury Markets Financial Analysis - VP - NY

JPMorgan Chase 8,104 reviews - New York, NY
SEC, FINRA, etc). CIB F&BM Treasury Markets Financial Analysis - VP - NY....

CIB F&BM Treasury Markets Financial Analysis - VP/ED - NY

JPMorgan Chase 8,104 reviews - New York, NY
SEC, FINRA, etc). CIB F&BM Treasury Markets Financial Analysis - VP/ED - NY....

Quality Assurance Analyst

JPMorgan Chase 8,104 reviews - New York, NY
Must have demonstrated knowledge of Financial Information Exchange (FIX) Protocol, Cost Basis, FINRA & IRS regulations; Quality Assurance Analyst....

AVP, Compliance, Broker-Dealer

OppenheimerFunds 11 reviews - New York, NY
Experience interacting with regulatory/governing bodies, including FINRA. Reporting to management for matters concerning FINRA Rules....

Vice President – CCAR Auditor

BNP Paribas 541 reviews - New York, NY
FINRA Registrations Required:. In accordance with section 165 of the Dodd-Frank Act (DFA), BNP Paribas is required to establish an Intermediate Holding Company ...

Director – Dodd-Frank Reg. Change Management Specialist

BNP Paribas 541 reviews - New York, NY
FINRA Registrations Required:. Significant experience with SEC, FINRA, CFTC, NFA and other regulators and familiarity with rules relating to broker-dealers....
Investment Advisers Act of 1940 ONLY
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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Operational Risk Specialist - Financial Institution Supervis...
Federal Reserve Bank of New York 293 reviews - New York, NY
Developing and maintaining relationships with other agencies (SEC, FINRA, etc.). Operational Risk Specialist - Financial Institution Supervision Group....
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