Finra $70,000 jobs in New York, NY

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Compliance Examiner - Market Regulation, Trading & Financial...
FINRA 18 reviews - New York, NY
and regulations enforced by FINRA. Focus of the position is on options surveillance. We Work to Protect Investors. Join our Team. FINRA is seeking a well...
Sponsored by eFinancialCareers - 7 days ago
Financial Operations Examiner – Market Regulation, Trading &...
FINRA 18 reviews - New York, NY
to the FINRA Careers site, enter www.finra.org... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an Equal Opportunity...
Sponsored by eFinancialCareers - 6 days ago

Securities Compliance Examiner (Options)

U.S. Securities & Exchange Commission - New York, NY
investment companies, the national securities exchanges, clearing agencies, SROs such as the Financial Industry Regulatory Authority ("FINRA") and...
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2 hours ago - save job - block - email - more...

Corporate Credit Compliance Professional

Morgan Stanley 649 reviews - New York, NY
Assist in preparing responses to regulatory inquiries from the SEC, FINRA, and other regulatory agencies. Coordinate with colleagues in Legal, Compliance and...
16 days ago - save job - block - email - more...

Independence Research Analyst

Grant Thornton 70 reviews - Edison, NJ
ADV) research and broker-dealer research (FINRA). Performing and reporting on the US. database searches using the GTUS tool (with analysis and identification of...
1 day ago - save job - block - email - more...

Advanced Markets Director

MetLife 746 reviews - New York, NY
• Complete continuing education requirements to maintain licenses/Obtain professional designations and FINRA registrations, as required....
2 days ago - save job - block - email - more...

Investment Consultant 6th Avenue NY NY

TD Ameritrade 81 reviews - New York, NY
member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE:. AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company...
2 days ago - save job - block - email - more...

Investment Specialist - UHNW NJ

JPMorgan Chase 5,038 reviews - New York, NY
Conducts operations within FINRA and other regulatory agency guidelines and requirements. Demonstrated understanding of wealth management including, but not...
16 days ago - save job - block - email - more...

Private Banking Control Analyst

Credit Suisse 249 reviews - New York, NY
The Control Analyst is responsible for performing delegated supervisory functions for the branch and ensuring that such functions are executed in adherence...
3 days ago - save job - block - email - more...

Wealth Management Client Relationship Consultant (NYC)

TIAA-CREF 168 reviews - New York, NY 10002 (Lower East Side area)
FINRA Series 7, 66 (or equivalent i.e. 63 & 65) or passage within 120 days of starting role. State and Non-Resident Life, Health license or passage of exam...
13 days ago - save job - block - email - more...

Penn Plaza Financial Representative

First Investors 68 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...
7 days ago - save job - block - email - more...

Broadway Financial Representative

First Investors 68 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...
7 days ago - save job - block - email - more...
Examiner – IT Financial Operations, Member Regulation, ROOR...
FINRA 18 reviews - New York, NY
to senior management of FINRA, member organizations’... does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to...
Sponsored by eFinancialCareers - 6 days ago
Client Service Information Specialist - Asset Management Job
BNY Mellon 797 reviews - New York, NY
experience required. No certifications or licenses are required; however FINRA licenses are preferred (Series 6 or 7 and 66 or 63). We are an Equal Employment...
Sponsored by eFinancialCareers - 2 days ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
FINRA 18 reviews - New York, NY
others and interact with senior member firm and FINRA personnel Additional Essential Job Functions to be... per year) is required. FINRA examiners work in a team...
Sponsored by eFinancialCareers - 2 days ago

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