Finra $140,000 jobs in New York, NY

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Regional Head of US Compliance
Barclay Simpson USA - New York, NY
$150,000 - $180,000 a year
Expertise in SEC and FINRA regulations is required. You will report to the global CCO and be responsible for managing the firm’s compliance monitoring programme...
Sponsored by eFinancialCareers - 3 days ago
Marketing Director (Mutual Fund Platform)
Selby Jennings Strategy - New York, NY
$150,000 - $250,000 a year
10 years experience in the investment industry, with knowledge across fixed income, equities and alternatives Working knowledge of FINRA and 1940s Mutual Funds...
Sponsored by eFinancialCareers - 22 hours ago
Broker-Dealer & Investment Adviser Regulatory Compliance Con...
The SDDCO Group - New York, NY
$150,000 a year
Detailed knowledge of FINRA rules and BD compliance. SDDCO-RS provides on- and off- site support to FINRA member broker/dealers, facilitating year-round...
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Sponsored by The SDDCO Group - 30+ days ago

Marketing Director (Mutual Fund Platform)

Selby Jennings - New York, NY
$150,000 - $250,000 a year
Working knowledge of FINRA and 1940s Mutual Funds marketing regulations. Marketing Director (Mutual Funds)....
1 day ago - save job - email - more...

Regional Head of US Compliance

Barclay Simpson - Manhattan, NY
$160,000 - $185,000 a year
Expertise in SEC and FINRA regulations is required. Our client is a global private equity and private debt business that manages capital on behalf of...
3 days ago - save job - email - more...

VP - IB Compliance Monitoring and Testing Branch Reviews

Robert Walters 11 reviews - New York, NY
$140,000 - $180,000 a year
Enforcement experience with FINRA, SEC or other regulatory agency a plus. 4+ years of branch exams experience, including extensive in-depth knowledge of FINRA,...
24 days ago - save job - email - more...

Compliance Officer

Green Key Resources 20 reviews - New York, NY
$125,000 - $170,000 a year
Provide guidance and advice on SEC, FINRA, Federal Reserve and state regulations and expectations. Bachelors degree in finance or a related field....
30+ days ago - save job - email - more...

Director; Markets/ Structuring Client Capital Management Com...

Robert Walters 11 reviews - New York, NY
$200,000 - $250,000 a year
Relevant financial and professional FINRA licenses and/or other professional qualifications (for example, CPA, CFA)....
24 days ago - save job - email - more...

Vice President/Regulatory Controller

Execu | Search 38 reviews - Manhattan, NY
$125,000 - $165,000 a year
Lead contact on issues and questions related to rules and regulations of the SEC, FINRA , CFTC and other regulatory agencies. About the Opportunity....
19 days ago - save job - email - more...

Vice President/Head of Investment Advisory Compliance

Execu | Search 38 reviews - Manhattan, NY
$150,000 - $175,000 a year
FINRA rules for the Office of Supervisory Jurisdiction ( OSJ ). Ensure compliance with internal guidelines, investment advisor rules, GIPS standards, and FINRA...
11 days ago - save job - email - more...

Senior Compliance Professional - SEC

3coast - New York, NY
$150,000 - $175,000 a year
Knowledge of CFTC / NFA as well as FINRA requirements is a plus. Only open to US Permanent Residents (Green Card holders) and US Citizens....
22 days ago - save job - email - more...

Fixed Income Compliance-VP

Robert Walters 11 reviews - New York, NY
$120,000 - $180,000 a year
Strong knowledge of SEC and FINRA rules and regulations. One of the world's leading investment banks are now seeking to hire a fixed income compliance...
16 days ago - save job - email - more...

Managing Director / Group Head - Private Placements

NBN, Inc. - New York, NY
$150,000 a year
FINRA registered rep with Series 7, 63, and 79 licenses. Build and manage a private debt and equity placement platform....
30+ days ago - save job - email - more...

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