Finra $40,000 jobs in New York, NY

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Compliance Examiner - Member Regulation, Sales Practice - Wo...
Finra 18 reviews - Woodbridge, NJ
to the FINRA Careers site, enter www.finra.org... FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an Equal Opportunity...
Sponsored by Finra - 4 days ago
Client Specialist Job
BNY Mellon 772 reviews - Uniondale, NY
for FINRA Series 6 and Series 63 exams. The Series 6 and Series 63 licenses are required for this position. Independent study to prepare for the FINRA exams is...
Sponsored by eFinancialCareers - 12 days ago

Relationship Officer

HSBC 1,891 reviews - New York, NY
in business, finance, related field or equivalent experience. Applicable FINRA licences (Series 7, etc.) Minimum of two years proven and progressive private...
8 hours ago - save job - email - more...

Regulatoy Exams Compliance Officer

Morgan Stanley 619 reviews - New York, NY
Manage and coordinate all aspects of regulatory examinations by SEC, FINRA, state regulators, and other exchanges - Responsible for responding to requests for...
9 hours ago - save job - email - more...

Surveillance and Trace Reporting Associate

RBC 199 reviews - New York, NY
NASD/FINRA/ NYSE/SEC. Prior broker/dealer experience a plus. System knowledge with Broadridge BPS, Impact and Bloomberg are a plus. Knowledgeable with FINRA...
12 days ago - save job - email - more...

Auditor III Consumer\Retail

Citi 1,833 reviews - New York, NY
deliverables according to strict timetables. Experience auditing OCC, Fed and/or FINRA regulated businesses and exposure to consumer deposit, lending and/or...
7 days ago - save job - email - more...

Internal Wholesaler Job

BNY Mellon 772 reviews - New York, NY
either BA or BS. One year of prior Sales / Marketing experience is preferred. FINRA Series 7 and 66 required (or must be obtained within 90 days). Knowledge of...
5 days ago - save job - email - more...

Sales Supervisor

Meyers Associates LP - New York, NY 10006 (Financial District area)
7, 24, and 63 registered. The ideal candidate should possess knowledge of FINRA and SEC rules and have a minimum of 4 years’ experience supervising a sales...
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8 hours ago - save job - email - more...

Compliance Officer – Regulatory Compliance

Pacific Investment Management Company LLC - New York, NY
to the securities related requirements of the SEC, FINRA, and various state regulators, • monitor and... equivalent required. • FINRA Series 7, 24 required...
10 days ago - save job - email - more...

Compliance Officer

TIAA-CREF 161 reviews - New York, NY 10002 (Lower East Side area)
Knowledge of the Investment Advisers Act of 1940, FINRA rules is required. Knowledge of plan regulations... or former regulatory (SEC, FINRA) experience required...
11 days ago - save job - email - more...

Client Service Information Specialist - Asset Management Job

BNY Mellon 772 reviews - New York, NY
experience required. No certifications or licenses are required; however FINRA licenses are preferred (Series 6 or 7 and 66 or 63). We are an Equal Employment...
3 days ago - save job - email - more...

KYC Manager

HSBC 1,891 reviews - New York, NY
Banks and Broker Dealers. To include BSA; Patriot Act; and associated SEC, FINRA, OCC, FFIEC guidance and expectations. (applies to Policy Manager JD) EEO/AA...
8 hours ago - save job - email - more...
Compliance Examiner - Market Regulation, Trading & Financial...
FINRA 18 reviews - New York, NY
and regulations enforced by FINRA. Focus of the position is on options surveillance. We Work to Protect Investors. Join our Team. FINRA is seeking a well...
Sponsored by eFinancialCareers - 7 days ago
Associate Principal Specialist, Credit Regulation, New York,...
FINRA 18 reviews - New York, NY
working knowledge of FINRA Rule 4210, Fed Reserve Regulation T, and other SRO rules regarding the extension of credit. Knowledge of FINRA proprietary systems...
Sponsored by eFinancialCareers - 20 days ago
Regulatory Coordinator - Member Regulation, ROOR- New York,...
FINRA 18 reviews - New York, NY
to ensure compliance with FINRA and SEC rules and... data. Provide FINRA management with current firm information and assist FINRA management in resolving...
Sponsored by eFinancialCareers - 7 days ago

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