Finra $60,000 jobs in New York, NY

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Dedicated Retirement Counselor (New York)
Prudential - 4.0901 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's...
Compliance Officer - Debt Capital Markets
The IBCM Compliance Department is also called upon to render advice on the rules and regulations of the SEC, FINRA, exchanges and other bodies;...
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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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...

AVP/VP FX/FIC Compliance

Deutsche Bank - 4.0783 reviews - New York, NY
Familiarity with FX and knowledge of SEC and FINRA regulations. Full/Part-Time:....

Associate-Intermediate-Trading/VP, SEC62116FBE

Goldman Sachs - 4.1460 reviews - New York, NY
FINRA Series 7 and 63 licenses required. Associate-Intermediate-Trading/VP with Goldman, Sachs & Co....


Artivest - New York, NY 10001 (Chelsea area)
Serve as primary liaison with the SEC, FINRA, the NFA, and other relevant self-regulatory organizations. Artivest is seeking a Director of Compliance to ensure...
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Fixed Income Regulatory Reporting Associate

JPMorgan Chase - 3.910,128 reviews - New York, NY
Understand trade reporting rules to Regulators, including the MSRB and FINRA (RTRS and TRACE). Fixed Income Regulatory Reporting Associate....

Compliance Officer

NorthStar Financial Services Group, LLC - New York, NY
Working knowledge of applicable FINRA rules and regulations. The Compliance Officer is responsible for ensuring that management activities comply with all legal...

Compliance Officer

ICAP - 3.729 reviews - Jersey City, NJ
Manage FINRA Form BD changes for the ICAP broker dealers. This individual will be responsible for assisting the Chief Compliance Officer with the management and...

Registration Specialist

Nomura Holdings, Inc. - New York, NY
Knowledge of FINRA regulations. Experience with FINRA Web CRD and /. Continuing education, updates on FINRA firm gateway) and handle any related. Job....

Transaction Monitoring

Deutsche Bank - 4.0783 reviews - New York, NY
Working knowledge of AML laws (USA PATRIOT Act), Regulations (Fed, SEC, FINRA) and their application to the supported products/business lines. Full/Part-Time:....

Business Analyst

Cognizant - 4.04,314 reviews - New York, NY
Understanding of FINRA rules and other US regulations applicable to wealth management accounts. Ability to evaluate the business need and produce technical...
Financial Consultant
Strong relationship-building skills and a FINRA Series 7, 65/66 or 24 registrations are preferred. Equal Opportunity Employer – M/F/D/VSecurities offered...
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Retail Investment Services Financial Consultant
License requirements, including knowledge of FINRA compliance, FDIC compliance,. As a member of Santander’s retail banking division you’ll....

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Company with Finra $60,000 jobs
Prudential Financial, one of the world’s largest financial services institutions, offers a wide array of financial products and services.