Finra $80,000 jobs in New York, NY

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Principal Training Examiner -Member Regulation- New York, NY
Finra 25 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...
Sponsored by Finra - 9 days ago
Retail Investments Financial Consultant II
Santander Bank 140 reviews - New York, NY
Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy...
Sponsored by Santander Bank - 5 days ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
FINRA 25 reviews - New York, NY
All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of...
Sponsored by eFinancialCareers - 24 days ago

FCC Compliance Officer Wholesale

HSBC 2,590 reviews - New York, NY
The role will also need to stay at the forefront of key regulatory changes to ensure proactive communication with business and develop appropriate policy and...

Compliance Associate

FMC - New York, NY
Monitor compliance changes and initiatives using tools such as IA Week, BD Week, FINRA Notices to Members and correspondence from outside counsel....
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Cap Mkts-Business Analyst 3

Wells Fargo 8,329 reviews - New York, NY
Gard VTC, FINRA OATS) and Middle/Back Office (Broadridge, OASYS, ACT). Knowledge of SEC, FINRA, Dodd Frank, Basel, and/or other industry regulations in...

Compliance Associate

TIAA-CREF 212 reviews - New York, NY 10002 (Lower East Side area)
Knowledge of relevant regulatory standards and environments (SEC, FINRA, FRB, IRS, NYSID) and Investment Advisers Act of 1940 preferred....

Private Bank Consultant

BNY Mellon 1,038 reviews - New York, NY
FINRA Series 7 and 63 licenses required. BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets...

Compliance Analyst

AllianceBernstein 34 reviews - New York, NY
Knowledge of FINRA Rule 2210, ’40 Act, MSRB and Mi. AB is a leading global investment management firm that offers high-quality research and diversified...

Regulatory Inquiries Group Professional

Morgan Stanley 837 reviews - New York, NY
Bachelor degree with a minimum 3- 5 years of experience in either a self-regulatory organization such as the NYSE, FINRA, AMEX, SEC or similar broker/dealer...

Retail Investments Financial Consultant II

Santander Bank 140 reviews - New York, NY
Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy...

ANALYST, SALES & TRADING COMPLIANCE

Stifel Nicolaus 15 reviews - New York, NY
Respond to trading and regulatory inquiries from FINRA and other regulatory bodies. Under general supervision, supports a Sales and Trading Desk....

Senior Associate, Regulatory Risk

KPMG 1,031 reviews - New York, NY
Knowledge of SEC rules, FINRA rules, and financial and operational issues affecting Broker Dealers. Assist clients in providing regulatory analysis of the...
Auditor II, Compliance Risk#
Santander Bank 140 reviews - New York, NY
Knowledgeable of regulations applicable to financial services organizations, including the Bank Secrecy Act, the USA Patriot Act, US Treasury Anti-Money...
Sponsored by Santander Bank - 21 days ago
VP Premier Relationship Manager
HSBC 2,590 reviews - Brooklyn, NY
Refer investment opportunities to Premier Relationship Advisors and Premier Wealth Advisors pursuant to appropriate FINRA registrations under HSBC Securities...
Sponsored by HSBC - 5 days ago

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Company with Finra $80,000 jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.