Finra $90,000 jobs in New York, NY

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Marketing Manager – Compliance
Barclay Simpson - New York, NY
$100,000 - $120,000 a year
We are seeking a compliance/legal professional with experience of SEC and/or FINRA regulations with proven experience of marketing materials....
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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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Retail Investment Services Financial Consultant
Santander Bank - 279 reviews - Long Island City, NY
License requirements, including knowledge of FINRA compliance, FDIC compliance,. As a member of Santander’s retail banking division you’ll....
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Complex Risk Officer

Morgan Stanley - 1,376 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...

Regulatory Audits and Inquiries Compliance Officer

ITG - New York, NY 10017 (Midtown area)
Regulatory environment including – SEC, NYSE, and FINRA rules; Perform annual FINRA Rule 3120 Supervisory Control System testing and reporting....

Compliance Advisor

Natixis - 63 reviews - New York, NY
Federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, the Federal Reserve Bank, the...

Wealth Management Compliance-Banking Coverage

Morgan Stanley - 1,376 reviews - New York, NY 10032 (Washington Heights area)
The successful candidate must possess a thorough knowledge of FINRA regulations as they relate to account opening, money movement, client suitability and...

Compliance Manager - Vice President

JPMorgan Chase - 9,847 reviews - New York, NY
Strong knowledge of FINRA and SEC rules and regulations preferred. Compliance Manager - Vice President....

Internal Sales - Financial Services

Arrow Investment Advisors - New York, NY
FINRA Series 7 or 65 a plus. Arrow Funds is seeking candidates with a minimum of one to three years of financial services experience....
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Derivatives Business Manager - Compliance

Invesco - 84 reviews - New York, NY 10036 (Clinton area)
Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, FINRA rules and Regulations, UCITSIV plus any other regulatory framework globally....

External Wholesaler

Great-West - 106 reviews - New York, NY
Series 6 and 63 FINRA Licenses required within 90 days if not currently held. Great-West is currently looking for an External Wholesaler to support the...

Manager, RIA Compliance

Guardian Life Insurance Company - 127 reviews - New York, NY
FINRA regulations required. Strategic plans of Guardian Investments business using a proactive approach in....

Broker Dealer Regulatory Reporting

Morgan Stanley - 1,376 reviews - New York, NY 10032 (Washington Heights area)
The position requires extensive knowledge of SEC Rules 15c3-3 (Reserve Formula), 15c3-1 (Net Capital) and related FINRA interpretations....
AVP Web Developer
OTC Markets Group Inc. is seeking an Associate Vice President Web Developer to support our client-facing application team. This w eb apps engineering role is
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Regulatory Compliance Consultant – Investment Advisory Focus
The SDDCO Group - New York, NY
Managing the filing of FINRA applications; Assisting clients with FINRA sales practice exams; Working knowledge of securities regulations and FINRA Rules....
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Company with Finra $90,000 jobs
Santander offers a dynamic & fast-changing work place. We recognize & respect individual differences & contributions, and value teamwork.