Finra $40,000 jobs in New York, NY

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Digital Compliance Officer
TIAA - 506 reviews - New York, NY 10002
Strong knowledge of Federal Reserve, FINRA, SEC and MSRB regulations applicable to the digital marketing and sale of products, services and the supporting...
Financial Advisor
FINRA Series 7, State Securities (S63 or S66), State IAR (S65 or S66), State Life, Accident and Health Insurance and Variable Contracts....
Financial Planning Assistant
EBNY Financial LLC - New York, NY 10011
FINRA Series 7, 63, or 66 preferred, but may sponsor. We are a leading independent wealth management firm and Insurance brokerage in the heart of Union Square,...
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Private Equity Associate

Lexington Park Group - New York, NY
We are registered with the Securities and Exchange Commission and the Florida Office of Financial Regulation and are Members of FINRA and SIPC....
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Associate-Trading, SEC8717HLEQ

Goldman Sachs - 877 reviews - New York, NY 10282 (Tribeca area)
FINRA Series 7, 63 and 55 eligibility required. Associate-Trading with Goldman Sachs & Co....


The Carlyle Group - 20 reviews - New York, NY
FINRA Series 7 and 66 required (or must be obtained within 90 days). The Internal Sales Analyst’s role is to actively solicit new investment product sales...

Associate Analyst - Market Regulation, Options Regulation -...

Finra - 57 reviews - New York, NY
FINRA is an. FINRA rules and regulations. Please be advised that FINRA. FINRA works to protect investors and....

Examiner - Market Regulation, TFCE - FinOps - New York, NY

Finra - 57 reviews - New York, NY
Member firm and FINRA personnel. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will...

Equity Research, Junior Associate, New York

Key Bank - 899 reviews - New York, NY
The candidate will need to have or obtain all required FINRA licenses inclusive of Series 7, 63, 86 and 87. KeyBanc Capital Markets Inc., a division of KeyCorp,...

Risk Analyst

Morgan Stanley - 1,962 reviews - New York, NY 10032 (Washington Heights area)
Active FINRA & State Licenses:. Morgan Stanley is currently seeking candidates for several Risk Analyst positions to join the Annuities and Insurance Central...

Trader / Liquid Credit

UBS - 1,237 reviews - New York, NY
Must be FINRA Series 7, 57, and 63 licensed. UBS Securities LLC seeks Executive Directors, Traders / Liquid Credit in New York, NY to trade macro products...

Biotech External/Internal Wholesaler

LifeSci Advisors - New York, NY 10019 (Midtown area)
LifeSci Advisors provides companies in the life sciences industry with comprehensive solutions to communications and investor outreach. LifeSci Advisors
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Director, Venture Capital

SeedInvest - New York, NY 10038 (Financial District area)
Since then, SeedInvest has worked closely with members of the SEC, FINRA, the White House, and the Treasury Department on the implementation of the JOBS Act....
CCB - Private Client Banker - City Hall
JP Morgan Chase - 14,151 reviews - New York, NY 10007
FINRA Series 6/7, state registration (including 63 or 66 if required), and Life licenses are required - or must be successfully completed within 120 days of...
Controller and Family Office Manager
Private Equity Investment Bank and Family Office - New York, NY 10019
$75,000 - $100,000 a year
FINRA Series 7 & 63, or Series 11, or willingness to attain immediately. Hours, Time Off*....
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