Finra $40,000 jobs in New York, NY

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Financial Operations Examiner – Market Regulation, Trading &...
Finra - New York, NY
FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place...
Stock Broker Trainee
Laidlaw & Company (UK) - New York, NY
Member FINRA, SIPC*. We offer paid training, sponsorship for FINRA 7 & 66 licenses, and benefits. Currently looking for creative, intelligent and outgoing...
Easily apply
Equities Support Analyst (Equities ETF Algo)
Wells Fargo - New York, NY
SEC, FINRA, Dodd Frank, and Basel. Equities Support Analyst (Equities, ETF, Algo)....

Institutional Equity Compliance Officer

Morgan Stanley - New York, NY 10032 (Washington Heights area)
Knowledge of broker-dealer regulatory compliance including FINRA, Exchange specific, NYSE and SEC regulations....

Research Compliance Officer

Morgan Stanley - New York, NY 10032 (Washington Heights area)
Knowledge of Global Research Settlement, FINRA rules, including 2241 and 2242, CFTC Research Conflicts of Interest Rules....

Equity Capital Markets Compliance Coverage Officer

Morgan Stanley - New York, NY 10032 (Washington Heights area)
Draft and maintain Compliance policies and procedures as well as written supervisory procedures as prescribed in FINRA Rule 3110....

Diversity and Outreach Specialist

Signature Bank - New York, NY
Join a winning team! Signature Bank® has been ranked among the Top 10 on Forbes' list of Best Banks in America for six consecutive years! Signature Bank,

Financial Advisor Trainee

Ameritas - New York, NY
$60,000 a year
We are Ameritas. Whatever your calling is, we provide a solid foundation for you to reach your potential and succeed. We are in the business of minimizing
Easily apply


Mutual of America - New York, NY 10022 (Midtown area)
FINRA registered representative (Series 6) required. We are currently hiring a Correspondent to join our Home Administration team in the Marketing Division.*....
Easily apply

e-Communications Compliance Officer

Société Générale - New York, NY
Environment SG US Compliance Department Mission MAIN ACCOUNTABILITIES Day to day responsibilities include but not limited to: Electronic Communications

Investment Operations Support Position

Insight Financial - New York, NY 10167 (Midtown area)
Must hold FINRA Series 7 license. _ Acts on behalf of the employing wealth management advisor to develop and prepare needs-based analysis or financial plans,...
Easily apply

Compliance Analyst

Seaport Global Holdings LLC - New York, NY 10017 (Midtown area)
Minimum two years’ experience working for the Compliance Department within a FINRA member broker dealer. Seaport Global Holdings LLC is seeking a full time...

Investment Management Compliance Testing Professional

Morgan Stanley - New York, NY 10032 (Washington Heights area)
Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor’s ERISA...
Financial Consultant - Greater NY/NJ Area
Fidelity Investments - New York, NY
FINRA Series 7 & 63 required prior to hire. Financial Consultant - Greater NY/NJ Area....
Divisional Finance Director 2016
Tradeweb - New York, NY
Oversee all accounting and regulatory matters involving FINRA and SEC, and anticipate and respond to accounting rules changes, SEC updates and comment letters,...

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