Finra $50,000 jobs in New York, NY

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Financial Representative - Wall St., NYC
FINRA Series 7 (required within 6 months of hire). For someone with your level of self-motivation,....
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Experienced Financial Advisors
Patrumin Investors - New York, NY
FINRA Series 7, 63 (65 or 66 preferred), CFP designation (or desire to obtain). Patrumin Investors - NY*....
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Options Trading Trainer/Guest Speaker
Firstrade Securities Inc. - New York, NY
Options Trading Trainer/Guest Speaker Job Code: FTOT A leading online brokerage firm located in New York City is looking to add a self-motivated Options
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Regulatory Coordinator - Member Regulation, Sales Practice -...

Finra - 3.833 reviews - New York, NY
Provide guidance of FINRA, SEC. FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written...

Financial Operations Examiner - Member Regulation, ROOR - Ne...

Finra - 3.833 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...

Examiner - Member Regulation, Sales Practice - New York, NY

Finra - 3.833 reviews - New York, NY  +1 location
Exemplify the FINRA Leadership Characteristics and. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task...

Senior Consultant - Business Consulting (AML & Trade Surveil...

ITL USA - New York, NY
Strong understanding of key regulations in AML (e.g., BSA/AML, USA Patriot Act, OFAC Compliance) or Trade Surveillance (e.g., SEC, FINRA, FSA UK) governing the...

Complex Supervisory Officer

UBS - 3.9696 reviews - New York, NY  +1 location
Are you risk averse, but risk aware? Do you enjoy building a culture of compliance? We are looking for someone like this to: – regularly evaluate and improve...

Enforcement Counsel - New York, NY

Finra - 3.833 reviews - New York, NY
FINRA performs various. FINRA employees are required to disclose to FINRA all brokerage accounts that. FINRA and no fee will be paid in the event that person is...

Non-Officer - Paralegal (Corporate Banking)

BNP Paribas - 3.9612 reviews - New York, NY
Business Overview: The Group Legal N.A. – Corporate Banking team provides transactional, structural and advisory services for Global Transaction Banking,...

Consumer Compliance

Objective Solutions International - New York, NY
TOP preference will be given to candidates with FINRA, CFPB, and FIDC experience. All levels of Consumer compliance banking wanted from Senior Associate all the...
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Registrations Compliance Officer

Cantor Fitzgerald - 3.337 reviews - New York, NY 10022 (Midtown area)
Knowledge of FINRA, NASD, NYSE, MSRB,CFTC and SEC Rules. File required FINRA form filings, U4, U5, BD, BR, 8-R, 8-T, etc....
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Associate-Finance, IBD52516NJR

Goldman Sachs - 4.1450 reviews - New York, NY
FINRA Series 79 and 63 licenses required. Associate-Finance with Goldman Sachs Bank USA in New York, NY....
Research Analyst-Healthcare Services
Sannon-Stamm Associates, Inc - New York, NY
$100,000 a year
FINRA 86 + 87. Registered 86 & 87 publishing analyst focused on the 'services' portion of Healthcare research....
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Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra - 3.833 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...
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Company with Finra $50,000 jobs
At Fidelity Investments, you'll discover challenges that excite you as you develop professionally and explore many career paths.