Finra $70,000 jobs in New York, NY

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Compliance Examiner - Market Regulation, Trading & Financial...
FINRA 20 reviews - New York, NY
Knowledge of relevant securities laws, rules and regulations enforced by FINRA. Substantial knowledge of relevant securities laws, rules and regulations...
Sponsored by eFinancialCareers - 10 days ago
Regulatory Coordinator - Member Regulation, Sales Practice -...
FINRA 20 reviews - New York, NY
Provide FINRA management with current firm information and assist FINRA management in resolving problem situations....
Sponsored by eFinancialCareers - 8 days ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
FINRA 20 reviews - New York, NY
FINRA examiners work in a team environment, frequently offsite. FINRA is seeking a well qualified individual for our Financial Operations Examineropening in New...
Sponsored by eFinancialCareers - 8 days ago

Operations Regulatory Reporting Manager

Jefferies & Company, Inc. - Jersey City, NJ
Additional knowledge of Dodd Frank and EMIR regulations will be preferred and the candidate will be expected to broaden their knowledge of these other...
4 days ago - save job - email - more...

Compliance Officer

Target State - New York, NY
The Compliance Data Mining Analytics Officer will be responsible for developing data analytics that support the testing of OCC, SEC, FINRA and Federal...
Easily apply
3 days ago - save job - email - more...

Business Continuity Management Associate

RBC 222 reviews - New York, NY
Support the Head, BCM US region, ensuring RBC businesses in the US (excluding RBC Bank & RBC Liberty) meet the maximum level of preparedness, conforming to RBC...
2 days ago - save job - email - more...

Compliance Analyst

Guggenheim Partners 12 reviews - New York, NY
Knowledge or experience with SEC Form PF, CFTC Form PQR, FINRA Form U4, and U5 is a plus. ABOUT GUGGENHEIM PARTNERS....
6 days ago - save job - email - more...

Compliance Specialist II- Capital Markets

Raymond James Financial 143 reviews - New York, NY
Job Summary: Under administrative direction, uses extensive knowledge and skills obtained through education and experience in securities industry obtained
2 days ago - save job - email - more...

Chief Compliance Officer

Winmill & Co. Incorporated - New York, NY
$120,000 - $150,000 a year
Preference for Series 7, 24, and 63 licenses and knowledge of NYSE listed company rules and FINRA rules, though not required....
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20 hours ago - save job - email - more...

Compliance Officer- Data Analyst

Target State - New York, NY 10006 (Financial District area)
The Compliance Data Mining Analytics Officer will be responsible for developing data analytics that support the testing of OCC, SEC, FINRA and Federal...
Easily apply
3 days ago - save job - email - more...

Control Room Compliance Officer

UBS 441 reviews - New York, NY
 Working understanding of the regulatory regimes under whose umbrella UBS falls, with emphasis the relevant major jurisdictions regulations, with emphasis on...
9 days ago - save job - email - more...

Advisory Financial Services Manager Broker\Dealer Operations

PwC 996 reviews - New York, NY
Understanding and application of FINRA Rule 4520, SEA 17a-5, 15c3-1 and 15c3-3 to the development of solutions for broker-dealers, emphasizing finance,...
3 days ago - save job - email - more...

Business Analyst I (paralegal)

Computing Concepts Inc - New York, NY
The Regulatory Examinations Group (REG) must interact with the Firm's North American securities regulators (including the SEC, FINRA, the CME and the CFTC) and...
2 days ago - save job - email - more...
Examiner – IT Financial Operations, Member Regulation, ROOR...
FINRA 20 reviews - New York, NY
FINRA is seeking a well qualified individual for our IT Financial Operations Examiner opening in New York, NY. Knowledge of SEC and FINRA rules and regulations,...
Sponsored by eFinancialCareers - 8 days ago
Investment Consultant 6th Avenue NY NY
TD Ameritrade 87 reviews - New York, NY
Job Title: Investment Consultant - 6th Avenue NY, NY Job ID: 103902 Job Location: New York, New York Employment Type: Contract Type: Regular Manager Level
Sponsored by TD Ameritrade - 28 days ago

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