Finra $140,000 Jobs, Employment in New York, NY

VP- Operations (Tax Information Reporting)

Broadridge 46 reviews - Jersey City, NJ

Control functions, set and monitored by regulatory guidelines (e.g. IRS, FINRA). He/She must demonstrate progressive leadership skills that promote operational...

Sponsored by Broadridge - 15 days ago

Business Analyst III/Sr. Specialist - Market Regulation - Ne...

Finra - New York, NY

Business Analyst III/Sr. Specialist - Market Regulation - Ne...

Finra - New York, NY

Must possess strong oral and written communication skills and demonstrated analytical skills. In addition, a working knowledge of a variety of software...

30+ days ago - save job - email - more...

Director - FINRA Compliance

Execu | Search 21 reviews - Manhattan, NY

3 - 5 years of Associate experience. 7 - 10 years of SEC compliance experience. Large US compliance consulting firm experience like ACA or Big Four.... $150,000 - $200,000 a year

30+ days ago - save job - email - more...

Vice President, Sales

Prudential 255 reviews - New York, NY

A proven track record of retirement plan sales. Must be willing to travel up to 50% of the time. Prudential is a multinational financial services leader with...

10 days ago - save job - email - more...

Senior Financial Consultant III - SW Brooklyn/Bay Ridge Job

Capital One 578 reviews - Brooklyn, NY - +1 location

No agencies please. Conducts and facilitates all branch investment related advisor training for Licensed Bank Associates and Financial Representatives....

21 days ago - save job - email - more...

Wealth Management Client Relationship Consultant-New York, N...

TIAA-CREF 86 reviews - New York, NY

66) or successful passage of both exams within 90 days of starting role. State of Residence Life, Health license or successful passage of exam within 90 days of...

11 days ago - save job - email - more...

Director of Compliance, Capital Markets

OneWire Managed Services - New York, NY

compliance regime for a new Capital Markets business (experience with. Alternative Investments and Structured Products compliance issues would be a....

OneWire Inc. - 14 days ago - save job - email - more...

SEC Compliance Practice Leader and Manager

BOC Staffing Solutions - New York, NY

Conducts examinations and other reviews of client firms related to all areas of finances and operations;. and supervisory and compliance policies, procedures,... $130,000 - $150,000 a year

5 days ago - save job - email - more...

Manager, Compliance - Fixed Income

Etrade 36 reviews - Jersey City, NJ

Thorough understanding of relevant MSRB, FINRA, SEC and SIPC rules & standards. Ensure procedures and supervisory controls are designed in accordance with...

E*TRADE Financial - 22 days ago - save job - email - more...

Managing Counsel Job

BNY Mellon 352 reviews - New York, NY

Candidates should have legal experience with a large financial services in-house legal department or equivalent law firm experience supporting broker-dealer...

30+ days ago - save job - email - more...

Bank Consultant New York(90 Fifth Ave)

TD Ameritrade 41 reviews - New York, NY

Possess comprehensive industry and investment knowledge, and. Tracking of your activities through our client relationship management system....

19 days ago - save job - email - more...

Retail Investments, Financial Consultant - Homecrest

Sovereign Bank 142 reviews - New York, NY

professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement and all...

Sponsored by Sovereign Bank - 27 days ago

Director - Broker Dealer Operations

FusionFind LLC - New York, NY

position requires strong FINRA regulatory knowledge... management and co-ordination Broad knowledge of FINRA regulations (Series 99, 7 or 24 desirable) Strong... $236,000 a year

Sponsored by TheLadders.com - 1 day ago

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