Finra jobs in New York, NY

Sort by: relevance - date
Salary Estimate
Title
Company
Location
Job Type
Employer/Recruiter
Jobs 1 to 10 of 732
Upload your resume - Let employers find you
Associate‚ Mergers & Acquisitions
Duff & Phelps 10 reviews - New York, NY
FINRA Series 79 & 63 certification (either current or able to obtain). At Duff & Phelps, we stand for the qualities that power sound decisions....
Sponsored by Duff & Phelps Corporation - 25 days ago
Retail Investments Financial Consultant II
Santander Bank 129 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 - 30+ days ago
Broadway Financial Representative
First Investors 89 reviews - New York, NY
Who we are . . . First Investors Corporation is a Wall Street-based financial services firm, established in 1930. We are proud of our long history of helping...
Sponsored by First Investors - 30+ days ago

Supervisory Principal

Citi 2,357 reviews - New York, NY
FINRA Series 7, 66 (or 63 & 65), 9/10 or 24 licenses required. Knowledge of FINRA and SEC Rules and Regulations and all investment products....

Surveillance Director, Member Regulation, ROOR - New York, N...

Finra 25 reviews - New York, NY
All told, FINRA oversees. FINRA abides by the requirements of. All resumes submitted by search firms to any employee at FINRA without a valid written agreement...

Compliance Examiner - Member Regulation, Sales Practice - Ne...

Finra 25 reviews - New York, NY - +1 location
FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers....

Broker Dealer Compliance Associate

Kforce 342 reviews - New York, NY 10019 (Midtown area)
Familiar with FINRA regulations (3012/3130) preferred. Kforce has a client located in midtown Manhattan, NY that is seeking a Compliance Associate with broker...

Director, Public Communications - Corporate Communications -...

Finra 25 reviews - New York, NY
Strong grasp of FINRA brand/style guidelines; Execute and direct social-media strategy, planning and development for FINRA and the FINRA Investor Education...

Compliance

Global Employment Solutions 32 reviews - New York, NY
Assist with the SEC & FINRA supplemental financial reporting -Liaison with regulatory examination teams and auditors during examinations and audits -Participate...

Auditor II, Compliance Risk

Santander Bank N.A. - New York, NY
Knowledgeable of regulations applicable to financial services organizations, including the Bank Secrecy Act, the USA Patriot Act, US Treasury Anti-Money...

Manager, Options Regulation-Market Regulation- New York, NY

Finra 25 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...

Compliance Officer

Green Key Resources 21 reviews - New York, NY - +1 location
Provide guidance and advice on SEC, FINRA, Federal Reserve and state regulations and expectations. Bachelors degree in finance or a related field....

Sales Associate

Sterling National Bank 29 reviews - New York, NY - +1 location
FINRA Series 6 and 63 investment licenses, state insurance license – a plus. To manage and develop a portfolio of relationships with target segments that lead...
Downtown Financial Representative
First Investors 89 reviews - New York, NY
Who we are . . . First Investors Corporation is a Wall Street-based financial services firm, established in 1930. We are proud of our long history of helping...
Sponsored by First Investors - 30+ days ago
Director, Retirement Platform
HighTower Advisors 2 reviews - New York, NY
FINRA Series 7 and 24 licensed preferred. It is desired that the Director, Retirement Platform will obtain in the absence of FINRA licenses the Series 7 and 24....
Easily apply
Sponsored by HighTower Advisors - 30+ days ago

Never miss a job. Get new jobs emailed to you daily.

Get email updates for the latest Finra jobs in New York, NY
You can cancel email alerts at any time.
Get new jobs for this search by email
You can cancel email alerts at any time.
Company with Finra jobs
89 reviews
First Investors, a recognized leader in financial services, operates in 26 states. Helping families achieve their financial goals.