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Finra $140,000 jobs in New York, NY

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Compliance Testing Specialist
GQR Global Markets - New York, NY
$120,000 - $160,000 a year
Ideal prospects will have a solid knowledge of the Investment Advisers Act of 1940, Securities Exchange Act of 1934, and SEC and FINRA rules....
Sponsored by eFinancialCareers
Compliance Director
Green Key Resources - 26 reviews - New York, NY
$160,000 - $180,000 a year
And SEC experience preferred 6+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm Familiarity...
Sponsored by eFinancialCareers
Senior Manager, Business Unit Compliance Officer - Operation...
OCC, FINRA, SEC, Capital Markets, Institutional Operations Compliance. Reporting into the Director, Operations Compliance - Independent Controls, this role will...
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Financial Crimes - Surveillance and AML Technology Manager

Crowe Horwath - 72 reviews - New York, NY 10022 (Midtown area)
Job Summary We are seeking an experienced Financial Crimes - Surveillance and AML Technology Manager in our Risk Consulting Regulatory and Compliance practice

VP – eRates Specialist

BNP Paribas - 649 reviews - New York, NY
FINRA Registrations Required:. As a primary dealer with the US Treasury BNP Paribas is a key participant in the US rates markets:....

RCRM Compliance Consultant 4 Retail Brokerage

Wells Fargo - 13,315 reviews - New York, NY
Fulfill regulatory compliance oversight role for assigned programs and support the associated Proponency functions for regulatory sources which includes broker...

Solution Architect

Microsoft - 2,359 reviews - New York, NY
Experience with financial and banking regulatory bodies such as OCC and FINRA. Are you passionate about cloud computing and its ability to transform the way...

Vice President – Bank Regulatory Counsel

BNP Paribas - 649 reviews - New York, NY
Business Overview: BNP Paribas lawyers are a collaborative team of legal experts. The CIB legal team is responsible for providing legal support and legal risk

Sr. Product Mgr. Intermediary Experience

Great-West - 112 reviews - New York, NY
BA/BS in related field FINRA Series 6 registration required within 90 days of hire/transfer. The Sr Product Manager Intermediary Experience will focus on...

Investment Banking Vice President – Consumer (New York)

Stifel Nicolaus - 17 reviews - New York, NY
Investment Banking Vice President – Consumer (New York) Stifel is looking for a Vice President to join its Consumer Investment Banking team in New York. This

Equities Compliance Advisory - VP

Drum Associates - New York, NY 10038 (Financial District area)
$170,000 a year
Knowledge of equities, options and futures regulations, including the Securities Exchange Act of 1933 and 1934 and FINRA. Equities Compliance Advisory - VP....

IB Vice President - Healthcare Investment Banking - NY

Stifel Nicolaus - 17 reviews - New York, NY
Stifel is looking for a VP level candidate to join its Healthcare Investment Banking Team in New York. This group is principally focused on Life science,

Equity Research Associate, Oil & Gas, NYC

Key Bank - 606 reviews - New York, NY
The candidate will need to have or obtain all required FINRA licenses inclusive of Series 7, 63, 86 and 87. Key traces its history back more than 160 years and...
RCRM Compliance Consultant 4 Retail Brokerage
Wells Fargo - 13,315 reviews - New York, NY
Fulfill regulatory compliance oversight role for assigned programs and support the associated Proponency functions for regulatory sources which includes broker...
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VP Equity Capital Markets Advisory Compliance
The Forum Group - 10 reviews - New York, NY
Experience with and expert knowledge of FINRA, NYSE and SEC rules associated with Equity and Convertible origination and syndicate (e.g., 33 and 34 Act,...
Sponsored by eFinancialCareers

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Company with Finra $140,000 jobs
Wells Fargo is a nationwide, diversified, community-based financial services company, founded in 1852 and headquartered in San Francisco.