Finra $80,000 jobs in New York, NY

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Financial Operations Examiner – Market Regulation, Trading &...
Finra - 37 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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Retail Investments Financial Consultant
Santander Holdings USA Inc - Brooklyn, NY
License requirements, including knowledge of FINRA compliance, FDIC compliance,. Retail Investments Financial Consultant - 1600640 Description As a member of...
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Associate Principal Examiner/Principal Examiner - Member Reg...
Finra - 37 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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Research Compliance Officer

Morgan Stanley - 1,513 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of Global Research Settlement, FINRA rules, including 2241 and 2242, CFTC Research Conflicts of Interest Rules....

Institutional Equity Compliance Officer

Morgan Stanley - 1,513 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of broker-dealer regulatory compliance including FINRA, Exchange specific, NYSE and SEC regulations....

Investment Management Compliance Testing Professional

Morgan Stanley - 1,513 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor’s ERISA...

Director, Compliance

Charles Schwab - 391 reviews - New York, NY 10002 (Lower East Side area)
FINRA Series 7, Series 9/10 or 24 and Series 65/66 licensing preferred. Strong understanding of FINRA, SEC and banking rules and regulations including the...

VP, Director of Client Administration (1094-4)

Brokerage Consultants Inc. - New York, NY
SUMMARY/RESPONSIBILITIES: The VP, Director of Client Administration position is responsible for the management and support of the Client Reporting &...
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Examiner - Member Regulation, Sales Practice - New York, NY

Finra - 37 reviews - New York, NY
FINRA performs various. FINRA works to protect investors. Trainings or other FINRA training programs. All resumes submitted by search firms to any employee at...

Vice President – Sanctions Advisory Specialist

BNP Paribas - 688 reviews - New York, NY
Business overview: The Management of the BNP Paribas has committed to ensure compliance with AML / Embargo & Sanctions rules within the entire Group. In this

Asset Management - North America Institutional Product Strat...

JPMorgan Chase - Asset Management - 10,615 reviews - New York, NY
J.P. Morgan Asset Management North America Institutional Product Strategy – VP Overview: J.P. Morgan Asset Management is one of the world’s largest and

Cause Examiner - Member Regulation, Sales Practice - New Yor...

Finra - 37 reviews - New York, NY
FINRA performs various. FINRA works to protect investors. Trainings or other FINRA training programs. All resumes submitted by search firms to any employee at...

PWM Complex Risk Officer

Morgan Stanley - 1,513 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures. The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and...
Compliance Specialist, Institutional Distribution
FINRA Series 7 preferred, Series 24 a plus. Working knowledge of FINRA Rules, Investment Adviser Act and Investment Company Act....
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AVP Web Developer
OTC Markets Group Inc - 4 reviews - New York, NY 10013
OTC Markets Group Inc. is seeking an Associate Vice President Web Developer to support our client-facing application team. This web apps engineering role is
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