Finra jobs in New York, 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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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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Relationship Manager - Wall St., NYC
FINRA Series 7 & 63 securities licenses required prior to hire (Series 65 and/or 66 and state registrations must be obtained within 3 months of hire)....
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Regulatory Coordinator - Member Regulation, ROOR- New York,...

Finra - 36 reviews - New York, NY
Provide FINRA management with current firm information and assist FINRA management in resolving problem situations. FINRA abides by the requirements of....

Cause Examiner - Member Regulation, Sales Practice - New Yor...

Finra - 36 reviews - New York, NY
FINRA performs various. FINRA works to protect investors. Trainings or other FINRA training programs. All resumes submitted by search firms to any employee at...

Examiner - Member Regulation, Sales Practice - New York, NY

Finra - 36 reviews - New York, NY
FINRA performs various. FINRA works to protect investors. Trainings or other FINRA training programs. All resumes submitted by search firms to any employee at...

Investment Management Compliance Testing Professional

Morgan Stanley - 1,488 reviews - New York, NY 10032 (Washington Heights area)
Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor’s ERISA...

Compliance Associate

New York Life Insurance Co - 924 reviews - New York, NY
FINRA Series 6 or 7 license preferred. Prepare daily, weekly and monthly compliance and internal control reports used to monitor the Service Organizations...

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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Compliance Manager

OppenheimerFunds - 13 reviews - New York, NY
FINRA Series 7 preferred, Series 24 a plus. Working knowledge of FINRA Rules, Investment Adviser Act and Investment Company Act....

Compliance Control Room & Conflicts Officer

Credit Suisse - 609 reviews - New York, NY 10022 (Midtown area)
Knowledge of securities laws including SEC Rules 137, 138, 139, 144A, Reg M and FINRA Rules 2241 & 2242, JOBS Act, Global Research Settlement....

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....

Client Services Associate

Signature Bank - 24 reviews - New York, NY
Join a winning team! Signature Bank® has been ranked among the Top 10 on Forbes' list of Best Banks in America for six consecutive years! Signature Bank,
Internal Sales
ETF Securities (US) LLC - New York, NY
FINRA Series 7 & 63. FINRA Series 7 and 63 required. ETF Securities is a leading, independent ETP provider with expertise in commodities....
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Retail Investment Services Financial Consultant
Santander Bank - 323 reviews - Brooklyn, 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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