Finra $140,000 jobs in New York, NY

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Assistant Vice President – Model Validator
BNP Paribas - 1,397 reviews - New York, NY
Business Overview: The Intermediate Holding Company (“IHC”) program structured at the U.S. level across poles of activities of BNP Paribas provides guidance,
Vice President - Model Validator
BNP Paribas - 1,397 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 – Quality Assurance & Control Testing
BNP Paribas - 1,397 reviews - New York, NY
BNP Paribas Group: BNP Paribas has operations in 75 countries and boasts more than 185,000 employees, including approximately 145,000 in Europe. It ranks

Head of Compliance

Betterment LLC - New York, NY 10013 (Tribeca area)
Manage and coordinate SEC and FINRA regulatory examinations, including written responses. Has either been a CCO or the number two compliance professional for a...

AML-KYC Manager

Division One Solutions - New York, NY 10018 (Clinton area)
$600 - $850 a day
Ensure the proper application of KYC principals (including FATF EU 3rd AML Directive, US Patriot Act, and FINRA) into strong quality assurance controls....
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Director – Senior Counsel

BNP Paribas - 1,397 reviews - New York, NY
French language skills a plus, but not required FINRA Registrations:. About BNP Paribas:....

Director, Venture Capital

SeedInvest - New York, NY 10038 (Financial District area)
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....

Vice President – Securitization Risk Officer

BNP Paribas - 1,397 reviews - New York, NY
Business Overview: The Transaction Securitization & Frameworks team is within RISK Global Markets, which is within the group RISK function. The Risk manager

Vice President - Senior Volcker Compliance Officer

BNP Paribas - 1,397 reviews - New York, NY
Business Overview: Compliance Advisory – Compliance Advisory team is responsible for: Defining compliance transversal norms, global charters, policies and

Analyst - ALM Treasury (North America)

BNP Paribas - 1,397 reviews - New York, NY
Good understanding of the broker/dealer business and the wholesale banking business FINRA Registrations Required:. BNP Paribas Group....

Vice President - Operations Consulting

BNP Paribas - 1,397 reviews - New York, NY
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 than...

Internal Audit VP- Wealth Management

Morgan Stanley - 1,877 reviews - New York, NY 10032 (Washington Heights area)
Perform on-site retail branch audits in accordance with FINRA rules and regulations. Morgan Stanley Wealth Management (WM) is seeking a Vice-President to join...

Compliance Officer – Corporate Banking & Securities (AVP)

Deutsche Bank - 1,545 reviews - New York, NY
Advise business areas on firm policies and procedures and applicable securities laws and FINRA regulations. Full/Part-Time:....
Vice President – Lead Business Analyst
BNP Paribas - 1,397 reviews - New York, NY
SAS Platform knowledge is a plus FINRA Registration:. BNP Paribas Group:....
Director - CIB Consulting
BNP Paribas - 1,397 reviews - New York, NY
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 than...

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