Finra jobs in Jericho, NY

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Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra - 36 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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Financial Sales Representative
FINRA Series 6, Series 7, Series 63 a plus (paid sponsorship available after employment). Are you a leader?...
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Equities Algo \ Quant Developer Capital Markets Application...
Wells Fargo - 13,515 reviews - New York, NY
Working knowledge of SEC, FINRA, CTFC and International Regulations in building technological solutions. Equities Algo / Quant Developer - Capital Markets...
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Compliance Professional

First Empire Securities - Hauppauge, NY 11788
Excellent communication skills with strong knowledge of fixed income related SEC, FINRA, and MSRB rules are a must....
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Investment Compliance Associate (NDIP) Part Time

New York Community Bank - 87 reviews - Westbury, NY 11590  +1 location
FINRA Series 7 and 24 registrations and life insurance license preferred. Under supervision of the CFSI Compliance Officer, the Non-Deposit Investment Product ...

New York Stock Exchange, Director, Regulation

Intercontinental Exchange, Inc. - New York, NY 10022 (Midtown area)
Collaborating with FINRA employees to facilitate and monitor the work they perform on behalf of NYSE exchanges;...

Financial Advisor - Island Federal Credit Union

CUNA Mutual - 79 reviews - Hauppauge, NY
Adhere to all FINRA and insurance rules and regulations, as well as to all company policies. Serve Your Clients Cultivate strong relationships with members by...

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....

WFA Assoc Fin Advisor 2

Wells Fargo - 13,515 reviews - Woodbury, NY
FINRA registration including Series 7 (or FINRA recognized equivalents). Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for...

Long Island Sales Assistant

Foresters Financial - 79 reviews - Westbury, NY
V FINRA licensing may be required (S6/S63). V Prospecting and telephone techniques (if you become FINRA licensed)....

Investment Consultant - Huntington, NY

Fidelity Investments - 1,539 reviews - Huntington Station, NY 11746
FINRA Series 7 and 63 required, 66 to be obtained within first 90 days of hire. Investment Consultant - Huntington, NY....

Fixed Income Compliance Officer

Cantor Fitzgerald - 38 reviews - New York, NY 10022 (Midtown area)
Bachelors degree, FINRA Series 7 Required (Series 24 and 53 a plus). Knowledge of SEC, FINRA, and MSRB regulations applicable to fixed income products, sales...
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Branch Relationship Banker

HSBC - 3,719 reviews - Jericho, NY  +7 locations
Refer investment opportunities to Financial Advisors pursuant to appropriate FINRA registrations under HSBC Securities (USA) Inc....
WFA Assoc Fin Advisor 2
Wells Fargo - 13,515 reviews - Woodbury, NY
FINRA registration including Series 7 (or FINRA recognized equivalents). Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for...
Sponsored
Associate Principal Examiner/Principal Examiner- Member Regu...
Finra - 36 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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