Finra $70,000 jobs in New York, NY

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Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra - 33 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...
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AVP, Windows System Engineer
OTC Markets Group is looking to hire a Windows Systems Engineer to join our IT Infrastructure team. OTC Markets Inc. offers a casual working environment in an
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Financial Advisor
NYLIFE SECURITIES LLC & New York Life - New York, NY
Successful completion of FINRA and State Licenses within the time frame provided. _NYLIFE SECURITIES LLC & New York Life_....
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Regulatory Coordinator - Member Regulation, Sales Practice -...

Finra - 33 reviews - New York, NY
Provide guidance of FINRA, SEC. FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written...

Financial Operations Examiner - Member Regulation, ROOR - Ne...

Finra - 33 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...

Examiner - Member Regulation, Sales Practice - New York, NY

Finra - 33 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...

Registrations Compliance Officer

Cantor Fitzgerald - 37 reviews - New York, NY 10022 (Midtown area)
Knowledge of FINRA, NASD, NYSE, MSRB,CFTC and SEC Rules. File required FINRA form filings, U4, U5, BD, BR, 8-R, 8-T, etc....
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Compliance Analyst_- Capital_Markets_Surveillance

Cantor Fitzgerald - 37 reviews - New York, NY 10022 (Midtown area)
Understanding of SEC, FINRA, and MSRB regulations applicable to fixed income products, sales and trading....
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Consumer Compliance

Objective Solutions International - New York, NY
TOP preference will be given to candidates with FINRA, CFPB, and FIDC experience. All levels of Consumer compliance banking wanted from Senior Associate all the...
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Associate-Finance, IBD52516NJR

Goldman Sachs - 450 reviews - New York, NY
FINRA Series 79 and 63 licenses required. Associate-Finance with Goldman Sachs Bank USA in New York, NY....

Investigative Analyst (Temporary)

New York District Attorney's Office - New York, NY
Position Summary: The New York County District Attorney's Office has an immediate opening for a (Temporary – 1 year minimum) Investigative Analyst* in the

ETF Specialist

Nuveen Investments, LLC - New York, NY 10017 (Midtown area)
FINRA Series 7 & 63 licenses. The primary goal of the ETF Specialist function is to generate and retain assets within the Nuveen Investments ETF product suite....

International Business Risk Officer

UBS - 698 reviews - New York, NY
FINRA Series 7, 9, 10 registrations. The Business Risk Officer will focus on risk governance across the various units of WMA International (UBS International,...
Financial Consultant - Upper East Side, NYC
FINRA Series 7 and Series 66 (63/65) and insurance licenses (or to be obtained within 3 months of hire). With your lead-by-example guidance and integrity,....
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Financial Services Professional
New York Life Insurance Company - New York, NY
FINRA Series 6/63, Series 7 not required. PARTNER WITH US AND SEE YOUR CAREER GROW WITH NEW YORK LIFE GREATER NEW YORK OFFICE IN MANHATTAN, NY!*....
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Company with Finra $70,000 jobs
At Fidelity Investments, you'll discover challenges that excite you as you develop professionally and explore many career paths.