Finra $60,000 jobs in New York, NY

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Associate, Capital Goods Coverage
HSBC - 7,080 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....
Client Manager
City National Bank - 188 reviews - New York, NY 10261
~For those colleagues with FINRA Licenses, review asset management and CNS Brokerage statements with clients....
Financial Professional - Entry Level
AXA Advisors - New York, NY
State life and health licenses, FINRA Series 7 and 66 registrations. A four-year college degree is preferred and relevant professional FINRA securities...
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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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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....

Consultant - NRS - New York

Reed Business Information - 33 reviews - New York, NY
The area of specialty for this position is the Investment Advisers Act of 1940 and related rules and industry practices, as well as FINRA rules and regulations...

Enforcement Investigator - New York, NY

Finra - 49 reviews - New York, NY
FINRA is an. FINRA Careers site, enter. FINRA is an Equal Opportunity. FINRA works to protect investors and....

Associate – Corporate Client Implementation

BNP Paribas - 1,279 reviews - New York, NY
FINRA Registrations Required:. The Corporate Banking & Coverage COO team is the interface between Americas coverage units, the corporate platform activities and...

Associate-Finance - IBD41117KPFG

Goldman Sachs - 783 reviews - New York, NY 10282 (Tribeca area)
FINRA Series 79 and 63 licenses required. Associate-Finance with Goldman, Sachs & Co....

Internal Control Associate

Maxim Group, LLC - 3 reviews - New York, NY 10174 (Murray Hill area)
Series 7 licensed (or must obtain within 6 months of hiring), additional FINRA licenses a plus. We are a diversified financial services firm providing a wide...
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Disaster Recovery Analyst

INTL FCStone - 33 reviews - New York, NY
Experience with ISO standards, SOX, FINRA, and Compliance rules and regulations knowledge desired. The Disaster Recovery (DR) Analyst will assist the Head of...

ETF Product Development Professional

Advisors Asset Management - 4 reviews - New York, NY
ETF Product Development Professional Advisors Asset Management (“AAM”) is currently seeking an ETF Product Development professional who will play an integral...
Application Manager - Member Regulation, Membership Applicat...
Finra - 49 reviews - New York, NY
FINRA is an. FINRA is an Equal. FINRA works to protect investors and. By the date they begin employment with FINRA....
Associate – US Credit Trading Desk Analyst
BNP Paribas - 1,279 reviews - New York, NY
Business Overview: The US Credit Trading Desk Analysts conduct analysis on factors affecting US credit risky asset valuations to assist trading/origination

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