Finra $50,000 jobs in New York, NY

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Compliance Examiner - Market Regulation, Trading & Financial...
Finra 24 reviews - New York, NY
All told, FINRA oversees. FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement...
Sponsored by Finra - 1 day ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 24 reviews - 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...
Sponsored by Finra - 10 days ago
Show:  all jobs - only 'Easy Apply' jobs

COMPLIANCE ANALYST - FIXED INCOME

Stifel Nicolaus 13 reviews - New York, NY
Research and respond to SEC, FINRA and MSRB regulatory inquiries. Update fixed income written supervisory procedures to address Firm policies and procedures as...
9 hours ago - save job - email - more...

Compliance Department Control Room Officer

Cantor Fitzgerald 28 reviews - New York, NY
This includes interpreting and assisting the business in enforcing applicable rules and regulations, managing the firm’s watch and restricted lists, with an...
Easily apply
5 days ago - save job - email - more...

Financial Service Representative

MetLife - Brooklyn, NY - +2 locations
Have or willing to obtain appropriate FINRA Registration and State Licensing:. Summary of Responsibilities:....
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1 day ago - save job - email - more...

Compliance Manager for Registered Investment Advisory Progra...

JPMorgan Chase 5,893 reviews - New York, NY
Strong understanding of FINRA regulation. Compliance Manager for Registered Investment Advisory Programs....
6 days ago - save job - email - more...

Product Manager

AIG 410 reviews - New York, NY
FINRA licenses 7, 65/66 preferred. The Product Manager of Platform Management and Development will assist in creating the strategic vision for the firm’s...
23 hours ago - save job - email - more...

Trader

HSBC 2,337 reviews - New York, NY
Overall Summary of the Job Provides timely and accurate execution of trades for HSBC’s targeted institutional clients in the short end of maturity curve....
6 days ago - save job - email - more...

Surveillance Investigator

Intercontinental Exchange, Inc. - New York, NY
Experience working with SEC, Finra, and/or other SRO’s strongly preferred. Work closely with NYSE Regulation Enforcement and coordinate findings with Finra, SEC...
6 days ago - save job - email - more...

Bank Consultant Wall Street NY

TD Ameritrade 93 reviews - New York, NY
Job Title: Bank Consultant - Wall Street, NY Job ID: 104571 Job Location: New York, New York Employment Type: Contract Type: Regular Manager Level:
1 day ago - save job - email - more...

PCG Market Admin Manager

Wells Fargo 7,598 reviews - New York, NY
FINRA Series 99 registration required or you must obtain Series 99 within 120 days of hire through qualifying registration or successful completion of...
1 day ago - save job - email - more...

Creative Financial Writer

Guggenheim Partners 13 reviews - New York, NY
Work in tandem with the firm’s Compliance department to ensure that all materials meet FINRA and SEC regulatory guidelines. ABOUT GUGGENHEIM PARTNERS:....
6 days ago - save job - email - more...
Regulatory Coordinator - Member Regulation, ROOR- New York,...
Finra 24 reviews - New York, NY
Provide FINRA management with current firm information and assist FINRA management in resolving problem situations. FINRA abides by the requirements of....
Sponsored by Finra - 29 days ago
US Regulatory and Legal Affairs Officer
Barclay Simpson - New York, NY
$225,000 a year
Our client, a global financial group, is seeking to recruit a US Regulatory and Legal Affairs who will lead all US compliance related matters from New York.
Sponsored by Barclay Simpson - 23 days ago
Chase Wealth Management - Financial Advisor Associate - (Spa...
JPMorgan Chase 5,893 reviews - Freeport, NY
Series 7 & 63 registration required in addition to meeting FINRA continuing education requirements, Series 65 or 66 registration required and the appropriate...
Sponsored by JPMorgan Chase - 16 days ago

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Company with Finra $50,000 jobs
24 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.