Finra jobs in New York, NY

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AVP Global Banking / CMB Surveillance Analyst
HSBC - 7,744 reviews - New York, NY
Experience in dealing with business, internal testing groups, audits, and regulatory bodies such as FINRA, SEC, OCC, and/or NFA....
Bilingual Branch Relationship Banker (English, Cantonese and...
HSBC - 7,744 reviews - New York, NY
Refer investment opportunities to Financial Advisors pursuant to appropriate FINRA registrations under HSBC Securities (USA) Inc....
CSR - Series 7 Required
Creative Financial Planning, Inc. - Nyack, NY 10960
$55,000 - $65,000 a year
FINRA Series 7 Registration. This position provides customer service support to the advisor's clients and assists with administrative support in the day-to-day...
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PwC Corporate Finance LLC- Analyst (Investment Banking)

PricewaterhouseCoopers LLC - 3,685 reviews - New York, NY 10002 (Lower East Side area)
(1)PricewaterhouseCoopers Corporate Finance LLC (PwC CF) is owned by PricewaterhouseCoopers LLP (PwC), a member firm of the PricewaterhouseCoopers Network, and...

Entry Level Trader - Equities/Options/FX

T3 Trading Group - 7 reviews - New York, NY 10013 (Tribeca area)
Obtain FINRA Series 57 License. Buying power based on experience and performance Competitive cost and fee structures On-site entry level training programs...
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Regulatory Compliance Associate

Computing Concepts Inc. - New York, NY 10020 (Midtown area)
FINRA, NFA, NYSE, BATS, CME Group, etc.). Strong Data Entry Skills, Strong Organizational Skills, Attention to Detail Primary Responsibilities • Research,...
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Data Entry Representative - Workflow & Imaging (NYL Securiti...

New York Life Insurance Co - 1,249 reviews - New York, NY
Adhere to all procedures, guidelines and controls at all times to be compliant with NASD, SEC and FINRA rules....

Compliance Associate

Northwestern Mutual - Park Ave - New York, NY 10167 (Midtown area)
FINRA Series 7, 9/10, and 63 (or 9/24). The following qualifications, FINRA registrations and state insurance licenses are required for all supervisors:....
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Investment Banking Associate

CTX Capital - New York, NY
FINRA Series 63. No personal history of enforcement actions by the Securities Exchange Commission, FINRA, or any state securities regulatory bodies....
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Equity Research, Junior Associate, New York

Key Bank - 863 reviews - New York, NY
The candidate will need to have or obtain all required FINRA licenses inclusive of Series 7, 63, 86 and 87. KeyBanc Capital Markets Inc., a division of KeyCorp,...

Chinese speaking Branch Relationship Banker

HSBC - 7,744 reviews - Brooklyn, NY 11249 (Chelsea area)
Refer investment opportunities to Financial Advisors pursuant to appropriate FINRA registrations under HSBC Securities (USA) Inc....
Easily apply

Institutional Channel Marketer – OCIO & Consultant Relations

Invesco - 205 reviews - New York, NY 10036
FINRA Series 6 or 7 a plus, but not required. Working knowledge of regulatory and industry rules, guidelines (GIPS, SEC, FINRA, PPA)....

Associate - Merchant Banking

BNP Paribas - 1,450 reviews - New York, NY
Minimum of 3 years of relevant work experience FINRA Registrations Required:. About BNP Paribas:....
Financial Advisor
AXA - New York, NY
State life and health licenses, FINRA Series 7 and 66 registrations. A four-year college degree is preferred and relevant professional FINRA securities...
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Senior Cyber Security Analyst
Tradeweb Markets LLC - 9 reviews - New York, NY 10036
FINRA – Financial Industry Regulatory Authority. In order to capitalize on our success and continued growth plans we are seeking a Senior Cyber Security Analyst...

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