Finra $130,000 jobs in New York, NY

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Sr Manager, DOL and Retirement - Compliance
TD Ameritrade - 255 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...
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Broker Dealer CAO/ Controller
Be the point person for FINRA audits, external audit and internal audit of the broker dealer. Our client is looking for a FINOP Controller to oversee their...
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Compliance Officer
Princeton Consulting - New York, NY 10018
$120,000 - $150,000 a year
FINRA series 7 and 24. A highly regarded mutual fund is looking to bring on board an experienced Compliance Officer with a company wide remit to recommend and...
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VP Finance Fintech

Access Staffing LLC - 109 reviews - New York, NY 10017 (Midtown area)
$300,000 a year
Any FINRA, SEC and Series 27 a +. Billion dollar global Financial Service/Electronic Trading conglomerate seeks 10+ years Fixed Income/Financial Services...
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Associate, Strategic Transactions Group

HSBC - 4,069 reviews - New York, NY
Active Series 7, 63, and 79 FINRA licenses are required. HSBC's Global Banking & Markets division provides tailored financial solutions to major government,...

Vice President – AMM Quantitative Trader

BNP Paribas - 766 reviews - New York, NY
BNP Paribas Group BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 75 countries, with more than 189,000 employees,...

Vice President - Advisory NA

BNP Paribas - 766 reviews - New York, NY
FINRA Registrations Required:. Advisory Americas delivers advisory services for mergers and acquisitions, primary and secondary equity capital markets...

Sales Enablement Strategy Manager

Signature Bank - 27 reviews - New York, NY
$140,000 a year
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,
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Markets Regulatory Advisory, Associate

MUFG - New York, NY
FINRA, NFA, and other SROs; 3-5 years of relevant experience with extensive knowledge and expertise in applicable laws and regulations administered by the...

Vice-President – Manager within Client Service Team

BNP Paribas - 766 reviews - New York, NY
BNP Paribas Group: BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 75 countries, with more than 189,000 employees,

Director, Venture Capital

SeedInvest - New York, NY 10038 (Financial District area)
$125,000 - $150,000 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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Vice President - Project Manager

BNP Paribas - 766 reviews - New York, NY
BNP Paribas Group: BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 75 countries, with more than 189,000 employees,

Vice President - Corporate Platform Head of Conduct

BNP Paribas - 766 reviews - New York, NY
BNP Paribas Group: BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 75 countries, with more than 189,000 employees,...
VP Broker Dealer Regulatory Reporting
Michael Page US - 118 reviews - New York, NY
$130,000 - $175,000 a year
Working knowledge of pertinent SEC, CFTC, CME, and FINRA rules and regulations. Ability to perform the weekly reserve computation (SEC Rule 15c3-3)....
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Regulatory Attorney
Natixis - 72 reviews - New York, NY
The FRB, NYS DFS, CFTC, SEC, FINRA and other self-regulatory organizations. Natixis is the international corporate, investment, insurance and financial services...
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