Finra jobs in Woodbridge, NJ

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COMPLIANCE OFFICER, BRANCH OFFICE EXAMINER
Confidential - Securities Broker-Dealer - Tinton Falls, NJ
FINRA Series 7, 24, and 63. Maintain working knowledge of compliance regulations, industry topics, and continuing education for FINRA licenses....
Easily apply
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Financial Advisor - Edison, NJ
Any position that requires FINRA licensing. (HTK), a SEC registered investment advisor, a registered broker-dealer, Member FINRA / SIPC ....
Easily apply
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Retail Investments Financial Consultant
License requirements, including knowledge of FINRA compliance, FDIC compliance,. As a member of Santander’s retail banking division you’ll....
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Examiner - Member Regulation, Sales Practice - Woodbridge, N...

Finra - 33 reviews - Woodbridge, NJ  +1 location
FINRA performs various. FINRA works to protect investors. Trainings or other FINRA training programs. All resumes submitted by search firms to any employee at...

Customer Service Representative (Client Relations)

Foresters Financial Services, Inc. - Edison, NJ
FINRA licensing may be a requirement. Established in 1930, Foresters Financial is a financial services firm with administrative and operations offices located...

Compliance Officer

ICAP - 29 reviews - Jersey City, NJ
Manage FINRA Form BD changes for the ICAP broker dealers. Principal Responsibilities & Accountabilities....

Fixed Income Regulatory Reporting Associate

JPMorgan Chase - 10,142 reviews - New York, NY
Understand trade reporting rules to Regulators, including the MSRB and FINRA (RTRS and TRACE). Fixed Income Regulatory Reporting Associate....

Regional Enforcement Counsel - New York, NY

Finra - 33 reviews - New York, NY
We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Regional

Compliance Manager

Prudential - 901 reviews - Newark, NJ
In addition, the position will assist in monitoring business activities to ensure they are performed in compliance with Company policies, securities laws, and...

WBS Regional Brokerage Mgr

Wells Fargo - 13,088 reviews - Summit, NJ
Successfully completed FINRA Series 7, 9/10, and 63 exams to qualify for immediate registration (or FINRA recognized equivalents)....

MSG Product Specialist - Jersey City, NJ

Bank of America - 13,620 reviews - Jersey City, NJ
Bachelor's degree required, preferably a Business or Finance degree o Current FINRA Series 7, 66 (or 63 & 65)....

Financial Operations Examiner - Member Regulation, ROOR - Ne...

Finra - 33 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...

Analyst – Compliance Review Examiner

BNP Paribas - 633 reviews - New York, NY
Securities, commodities, and banking regulations, including the rules and regulations of the SEC, CFTC and all exchanges and associations under such federal...
Surveillance Analyst
ICAP - 29 reviews - Jersey City, NJ
Position will include responsibility for monitoring daily surveillance reports and alerts related to institutional transactions in fixed income and equity
Sponsored
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra - 33 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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