Finra $130,000 jobs in New York, NY

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Investment Consultant 6th Ave NY NY
TD Ameritrade - New York, NY
Job Title: Investment Consultant - 6th Ave NY, NY Job ID: 105048 Job Location: New York, New York Employment Type: Full-Time Contract Type: Regular
Sponsored by TD Ameritrade - 28 days ago
Sales Associate 1
Sterling National Bank - Forest Hills, NY
FINRA Series 6 and 63 investment licenses, state insurance license – a plus. To manage and develop a portfolio of relationships with target segments that lead...
Sponsored by Sterling National Bank - 30+ days ago

Complex Risk Officer

Morgan Stanley - New York, NY - +1 location
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and...

Vice President

- New York, NY
In this position, the banker will be part of our Power & Energy team, and will assist in expanding the firm’s M&A and financing relationships in the Power
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Associate

HSBC - New York, NY
FINRA Series 79 preferred. To provide client management coverage on the Multinationals Team....

Associate / VP FIG

HSBC - New York, NY
FINRA Series 79 licenses required. Act of Global Relationship Banker for portfolio of core and developing hedge fund clients....

Financial Services – Regulatory Consultant

SIA partners - New York, NY
FINRA Series 7 and 24. We are looking for a Regulatory Consultant with background in Capital Markets and Financial Regulations....

Senior Compliance Analyst Data Mining Analytics

Citi - Long Island City, NY
The Compliance Data Mining Analytics Senior Analyst will be responsible for developing data analytics that support the testing of OCC, SEC, FINRA and Federal...

Director, Exchange Traded Products

Intercontinental Exchange, Inc. - New York, NY
Regulation including SEC and FINRA. Obtain regulatory approval to list and trade new ETP product type along with other associated enhancements requiring...

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

Corporate Compliance - Fixed Income Compliance - Vice Presid...

JPMorgan Chase - New York, NY
Knowledge of SEC, FINRA, OCC, CFTC and other rules related to Fixed Income sales and trading a plus. Corporate Compliance - Fixed Income Compliance - Vice...

Legal Counsel

KGS-Alpha Capital Markets, L.P. - New York, NY 10022 (Midtown area)
(“the Firm”) is a New York based institutional fixed-income broker-dealer, registered with the SEC and FINRA. KGS-Alpha Capital Markets, L.P....
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Corporate Banking and Securities Compliance Officer
Robert Walters US - New York, NY
Advice business areas on firm policies and procedures and applicable securities laws and FINRA regulations....
Sponsored by Financial Times Jobs - 1 day ago
Financial Consultant
AXA Advisors New York - New York, NY
FINRA Series 7 and 63 registrations are preferred. AXA Advisors, LLC, member SIPC and FINRA, is an Equal Opportunity Employer M/F/D/V....
Easily apply
Sponsored by AXA Advisors New York - 30+ days ago
Sales Executive-Insurance/Annuities/Investments
New York Life-Greater New York General Office - New York, NY
FINRA Series 7, Series 6/63 a plus (company sponsorship available). New York Life Greater New York located in Midtown Manhattan is seeking sales oriented...
Easily apply
Sponsored by New York Life-Greater New York General Office - 30+ days ago

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