Finra jobs in Woodbridge, NJ

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Regulatory Coordinator - Member Regulation, Sales Practice -...
FINRA 20 reviews - New York, NY
Provide FINRA management with current firm information and assist FINRA management in resolving problem situations....
Sponsored by eFinancialCareers - 17 days ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 20 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...
Sponsored by Finra - 17 days ago

Senior Compliance Officer Regulatory Projects Risk Assesment...

Citi 2,032 reviews - Jersey City, NJ
Possess strong knowledge of CFTC, OCC, FINRA and SEC Regulatory rules. Brief Description of the Organization....
3 days ago - save job - block - email - more...

Regional Vice President, Independent Broker Dealer - Small R...

Guggenheim Partners 12 reviews - New York, NY
ABOUT GUGGENHEIM PARTNERS Guggenheim Partners is a global investment and advisory firm with more than $210 billion in assets under management. Across our...
2 hours ago - save job - block - email - more...

Compliance Analyst

Prudential 585 reviews - Newark, NJ
Ability to obtain FINRA Series 7 registration within six months of hire. Knowledge of the securities industry including the various regulatory agencies (e.g.,...
6 days ago - save job - block - email - more...

Retirement Plan Communication Consultant

Prudential 585 reviews - Iselin, NJ 08830
FINRA Series 6 and 63 licensed or ability to obtain within 120 days of hire; This position serves as the strategic participant communication & education...
7 hours ago - save job - block - email - more...

Compliance Analyst – Customer Complaints

E*TRADE Financial 66 reviews - Jersey City, NJ
A complete understanding of FINRA rules relating to customer complaints and how those rules apply to the Firm’s recordkeeping and reporting requirements....
10 days ago - save job - block - email - more...

ASSOCIATE- TRADING

J. ARON & CO. - New York, NY 10282 (Tribeca area)
Assoc-Trading w/ J. Aron & Co. in NY, NY. Trading & Mkt Making North Amer, Euro & Asian crude oil & oil prods, incl Swaps, Options & Futures. Travel...
New York Times - 2 days ago - save job - block - email - more...

Institutional Strategic Relationship Manager

TD Ameritrade 84 reviews - Jersey City, NJ
Job Title: Institutional Strategic Relationship Manager Job ID: 103944 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type:
12 days ago - save job - block - email - more...

Implementation Manager (Dubuque IA, Hartford CT, Scranton PA...

Prudential 585 reviews - Iselin, NJ
Implementation Manager (Dubuque IA, Hartford CT, Scranton PA or Iselin NJ) - DC 0000J Description This position is within Total Retirement Solutions (TRS)
9 days ago - save job - block - email - more...

Broker Dealer Compliance

Michael Page USA - Manhattan, NY
$98,000 - $155,000 a year
Knowledge of relevant FINRA / SEC / DFA / FATCA / Volker rule is a must. The role provides support for the Chief Compliance Officer and to Senior Management...
Michael Page - 6 days ago - save job - block - email - more...

Compliance Manager Regulatory Examinations - Securities

JPMorgan Chase 5,374 reviews - New York, NY
Experience working at a firm or a regulator on regulatory examinations by the SEC, FINRA, and other securities regulators....
2 days ago - save job - block - email - more...
Compliance Examiner - Market Regulation, Trading & Financial...
FINRA 20 reviews - New York, NY
Knowledge of relevant securities laws, rules and regulations enforced by FINRA. Substantial knowledge of relevant securities laws, rules and regulations...
Sponsored by eFinancialCareers - 17 days ago
Regulatory Coordinator - Member Regulation, Sales Practice -...
Finra 20 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....
Sponsored by Finra - 18 days ago
Financial Professional
AXA Advisors, LLC 86 reviews - Woodbridge, NJ
AXA Advisors, LLC, member SIPC and FINRA, is an Equal Opportunity Employer M/F/D/V. Strong interpersonal and communication skills and FINRA Series 7 and 63...
Easily apply
Sponsored by AXA Advisors, LLC - 8 days ago

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