Finra $90,000 jobs in New York, NY

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Regional Head of US Compliance
Barclay Simpson - Manhattan, NY
$160,000 - $185,000 a year
Expertise in SEC and FINRA regulations is required. Our client is a global private equity and private debt business that manages capital on behalf of...
Sponsored by Barclay Simpson - 1 day ago
Retail Investments Financial Consultant II
Santander Bank 111 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 - 23 days ago

Control Officer

UBS 492 reviews - New York, NY - +1 location
The Control Officer is responsible for performing delegated supervisory functions for the complex/branch and ensuring that the complex is in compliance with
15 hours ago - save job - email - more...

Product Manager

AIG 410 reviews - New York, NY
FINRA licenses 7, 65/66 preferred. The Product Manager of Platform Management and Development will assist in creating the strategic vision for the firm’s...
1 day ago - save job - email - more...

Sr. Product Marketing Expert

Franklin Templeton Investments 122 reviews - New York, NY
Knowledge of regulatory and industry rules, guidelines, and standards critical (SEC, FINRA, GIPS. Franklin Templeton Investments is a leading global investment...
2 days ago - save job - email - more...

Futures & Options Execution and Clearing Compliance

JPMorgan Chase 5,893 reviews - New York, NY
FINRA Rule 4311; Strong working understanding of CFTC, CME, NFA, SEC, FINRA, ICE Futures, OCC rules and regulations....
1 day ago - save job - email - more...

Retail Channel Mrkting Manager - BD/IBD Job

BNY Mellon 934 reviews - New York, NY
Knowledge of regulatory and industry rules, guidelines, and standards critical (SEC, FINRA, GIPS, PPA etc). Retail Channel Mrkting Manager - BD/IBD (Job Number:...
12 days ago - save job - email - more...

Bank Consultant Wall Street NY

TD Ameritrade 93 reviews - New York, NY
Job Title: Bank Consultant - Wall Street, NY Job ID: 104571 Job Location: New York, New York Employment Type: Contract Type: Regular Manager Level:
1 day ago - save job - email - more...

FINANCE: Associate-Intermediate-Finance/VP

Goldman Sachs & Co - New York, NY
Must possess FINRA Series 7 or 79 license. Associate-Intermediate-Finance/VP w/ Goldman Sachs & Co....
Easily apply
3 days ago - save job - email - more...

CIB F&BM – Banking Treasury - Analyst/Associate- NY

JPMorgan Chase 5,893 reviews - New York, NY
Support regulatory requests from Federal Reserve, SEC, FINRA and OCC. CIB F&BM – Banking Treasury - Analyst/Associate- NY....
2 days ago - save job - email - more...

GCS&S. Investment Bank Policy, VP

Barclays 751 reviews - New York, NY
5+ years of regulatory rules including those of the , SEC, CFTC, NFA, FINRA, and Federal Reserve/OCC experience....
6 days ago - save job - email - more...

GWM - Fixed Income - Investment Product Specialist - Analyst

JPMorgan Chase 5,893 reviews - New York, NY
FINRA Series 7 and 63 strongly. GWM - Fixed Income - Investment Product Specialist - Analyst....
2 days ago - save job - email - more...
Bank Consultant Wall Street NY
TD Ameritrade 93 reviews - New York, NY
Job Title: Bank Consultant - Wall Street, NY Job ID: 104571 Job Location: New York, New York Employment Type: Contract Type: Regular Manager Level:
Sponsored by TD Ameritrade - 1 day ago
Chase Private Client - Private Client Advisor - New York, NY...
JPMorgan Chase 5,893 reviews - New York, NY
Series 7 & 63 registration required in addition to meeting FINRA continuing education requirements, Series 65 or 66 registration required and the appropriate...
Sponsored by JPMorgan Chase - 25 days ago
Manager, Retirement Income Planning
Etrade Financial 75 reviews - Jersey City, NJ
FINRA Series 7, 63, licensing and industry designations such as CFP, CRPC and an Annuity/Insurance license preferred....
Sponsored by Etrade Financial - 30+ days ago

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Company with Finra $90,000 jobs
75 reviews
We are an innovative financial services company offering online brokerage, investing & related banking solutions at a competitive price.