Finra $130,000 jobs in New York, NY

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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....
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Sponsored by AXA Advisors New York - 30+ days ago
Director Shared Enterprise Business Services
TD Ameritrade 111 reviews - Jersey City, NJ
Job Title: Director,Shared Enterprise Business Services Job ID: 104962-3 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type:
Sponsored by TD Ameritrade - 16 days ago
Financial Sales Professional (Series 7 and Series 63 a plus!...
AXA Advisors New York - New York, NY
State life and health licenses, FINRA Series 7 and 66 registrations. A four-year college degree is preferred and relevant professional FINRA securities...
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Sponsored by AXA Advisors New York - 25 days ago

FCC Compliance Officer Wholesale

HSBC 2,590 reviews - New York, NY
The role will also need to stay at the forefront of key regulatory changes to ensure proactive communication with business and develop appropriate policy and...

VP of Investment Strategy

BNY Mellon 1,039 reviews - New York, NY
FINRA series 7 and 63 securities licenses a plus. BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial...

Director, Consumer Sector

HSBC 2,590 reviews - New York, NY
FINRA Series 79 license may be required. To identify opportunities with existing and prospective clients in the Consumer industry , in particular with reference...

Senior Associate, Regulatory Risk

KPMG 1,032 reviews - New York, NY
Knowledge of SEC rules, FINRA rules, and financial and operational issues affecting Broker Dealers. Assist clients in providing regulatory analysis of the...

Regulatory Inquiries Group Professional

Morgan Stanley 837 reviews - New York, NY
Bachelor degree with a minimum 3- 5 years of experience in either a self-regulatory organization such as the NYSE, FINRA, AMEX, SEC or similar broker/dealer...

Channel Marketer

BNY Mellon 1,039 reviews - New York, NY
FINRA Licenses 7 and 63 a plus. BNY Mellon Investment Management Channel Marketer will work with the team to deliver materials for programs in support of our...

Japan Equity Research

UBS 534 reviews - New York, NY
Must be FINRA Series 7 licensed. UBS Securities LLC seeks Executive Directors, Salespersons / Japanese Equity Research in New York, NY to serve as senior equity...

Senior Associate, Advisory

KPMG 1,032 reviews - New York, NY
Strong knowledge of FINRA rules and SEC rules. KPMG clients know our insights and guidance will help them to better understand market dynamics and address the...

Private Bank Consultant

BNY Mellon 1,039 reviews - New York, NY
FINRA Series 7 and 63 licenses required. BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets...

Compliance Associate

TIAA-CREF 212 reviews - New York, NY 10002 (Lower East Side area)
Knowledge of relevant regulatory standards and environments (SEC, FINRA, FRB, IRS, NYSID) and Investment Advisers Act of 1940 preferred....
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...
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Sponsored by New York Life-Greater New York General Office - 30+ days ago
Director Fixed Income Sales
TD Ameritrade 111 reviews - Jersey City, NJ
FINRA Series 7, 9, 10, 53, 63 and 66 required. Director, Fixed Income Sales....
Sponsored by TD Ameritrade - 15 days ago

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Company with Finra $130,000 jobs
AXA is the holding company for an international financial services group focused on financial protection.