Finra $70,000 jobs in New York, NY

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Compliance Examiner - Member Regulation, Sales Practice - Ne...
Finra 26 reviews - New York, NY
FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers....
Sponsored by Finra
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 26 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
Broadway Financial Representative
First Investors 92 reviews - New York, NY
Who we are . . . First Investors Corporation is a Wall Street-based financial services firm, established in 1930. We are proud of our long history of helping...
Sponsored by First Investors
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VICE PRESIDENT, PORTFOLIO CONSULTANT

Barclays 882 reviews - New York, NY
And FINRA Series 3, 7 and/or 66. Vice President, Portfolio Consultant....

Compliance Officer & Operations Associate

DeMatteo Monness LLC - New York, NY
Familiarity with broker/dealer regulations pursuant to SEC and FINRA rules. And all of its employees with all FINRA and SEC rules and regulations;...
Easily apply

Examination Manager - Member Regulation, ROOR- New York, NY

Finra 26 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...

Regulatory Compliance Consultant – Investment Advisory Focus

The SDDCO Group - New York, NY 10022(Midtown area)
Managing the filing of FINRA applications; Assisting clients with FINRA sales practice exams; Working knowledge of securities regulations and FINRA Rules....
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Continuing Education Analyst - New York, NY

Finra 26 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...

Regulatory Coordinator - Member Regulation, ROOR- New York,...

Finra 26 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....

Compliance Manager - Political Law

Prudential 735 reviews - Newark, NJ
Compliance Manager - Political Law - SHA0000F Description The Political Law Compliance team, a part of the Corporate Compliance function, is responsible...

Audiovisual Engineer, Desktop Services - New York, NY

Finra 26 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...

Bank Regulatory Reporting Consultants

Resources Global Professionals (RGP) 3 reviews - New York, NY - +1 location
Federal Reserve Bank, SEC, FINRA, NYMEX. As a member of Resources Global Professionals elite group, you will have the opportunity to partner with clients...

Private Placement Agent for Alternative Investment Funds

Meyler Capital - New York, NY
Meyler Capital is founded on the belief that the capital raising process is ripe for change. We take the approach that generating asset momentum requires a
Easily apply
Downtown Financial Representative
First Investors 92 reviews - New York, NY
Who we are . . . First Investors Corporation is a Wall Street-based financial services firm, established in 1930. We are proud of our long history of helping...
Sponsored by First Investors
Compliance Officer
TIAA-CREF | Financial Services® - New York, NY
FINRA Series 7, 24 and NASAA Series 65 is strongly preferred. This position will work with the CCO and partner with the Individual Advisory Services (IAS) and...
Sponsored by Brokerhunter.com

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Company with Finra $70,000 jobs
First Investors, a recognized leader in financial services, operates in 26 states. Helping families achieve their financial goals.