Finra $50,000 jobs in New York, NY

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Bilingual Branch Relationship Banker (English, Cantonese and...
HSBC - 7,135 reviews - New York, NY
Refer investment opportunities to Financial Advisors pursuant to appropriate FINRA registrations under HSBC Securities (USA) Inc....
Associate, Capital Goods Coverage
HSBC - 7,135 reviews - New York, NY
Active FINRA series 7, 63 and 79 required. Supporting one or more Global Relationship Bankers on a number of specific accounts....
Surveillance Analyst
ICAP - 39 reviews - Jersey City, NJ
Principal Responsibilities and Accountabilities Primarily responsible for surveillance of transactions and related activity Conduct T+1 surveillance using

Senior Compliance Specialist

OppenheimerFunds - 21 reviews - New York, NY
Knowledge of Investment Advisers Act, Investment Company Act, FINRA Rules and other federal regulations a plus....

Compliance Officer

Fiera Capital Inc. - New York, NY
Strong working knowledge of FINRA and NFA regulations. Working closely and directly with both the CCO and General Counsel, this role will be proactively...
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Examiner - Member Regulation, Sales Practice - New York, NY

Finra - 49 reviews - New York, NY  +2 locations
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...

Regional Investment Consultant

Arrow Investment Advisors - New York, NY 10003 (Greenwich Village area)
FINRA Series 7 and 63. Arrow Investment Advisors (AIA) is seeking External Investment Consultants (EICs) in regional territories across the United States....

Dedicated Retirement Counselor

Prudential - 1,120 reviews - New York, NY
FINRA Series 6 & 63 licenses required. The primary responsibility of the Retirement Counselor is to provide retirement education and expertise to our client,...

Hybrid External Wholesaler

Horizons ETFs Management (USA) LLC - New York, NY
FINRA Series 7 & 63. FINRA Series 7 & 63 required. Horizons ETFs Management (USA) LLC is seeking a Hybrid External Wholesaler to promote our ETFs brand through...
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Compliance Officer – Corporate Banking & Securities (AVP)

Deutsche Bank - 1,461 reviews - New York, NY
Advise business areas on firm policies and procedures and applicable securities laws and FINRA regulations. Full/Part-Time:....

Intmd Trans Capture Analyst1

Citi - 9,357 reviews - New York, NY
Ensure that the CGMI is fully compliant with all policies/ regulatory procedures, and various other operational tasks within FINRA guidlines....

Associate – Junior Consultant

BNP Paribas - 1,283 reviews - New York, NY
Business Overview: Founded in 2013, Consulting Americas works closely with BNPP’s executive management and senior leadership to: design and implement high

Analyst – Junior Consultant

BNP Paribas - 1,283 reviews - New York, NY
Business Overview: Founded in 2013, Consulting Americas works closely with BNPP’s executive management and senior leadership to: design and implement high
Are You A Recent Grad?
AXA Advisors, LLC – Bergen County, NJ - Saddle Brook, NJ
$50,000 - $150,000 a year
Securities offered through AXA Advisors, LLC (NY, NY 212-314-4600), member FINRA, SIPC. A four-year college degree is preferred and relevant professional FINRA...
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COMPLIANCE OFFICER – Advertising Review Principal
Confidential - Securities Broker-Dealer - New York, NY
Review advertising materials for broker dealer and SEC RIA to ensure compliance with FINRA, SEC, and state regulatory requirements....
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