Finra jobs in New York, NY

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Compliance Analyst
Tradeweb Markets LLC - 10 reviews - New York, NY 10036
Maintain current knowledge and awareness of SEC, CFTC, FINRA, and NFA regulations and rules. Tradeweb is seeking a Compliance Analyst, a position that will...
Downtown NYC Financial Representative
Who we are . . . Foresters Financial Services, Inc. provides everyday families and individuals with financial solutions, guidance, and tools, to meet their...

ABS Associate

TD Bank - 4,793 reviews - New York, NY
FINRA Series 7 and 63 Licenses required. Trader on the ABS Trading desk, maintaining books and records and enhancing the Bank’s profile and market share....

Email Supervision Associate

Jefferies & Company, Inc. - 3 reviews - New York, NY
Review potentially noncompliant internal and external email traffic sent by United States based Investment Banking staff to ensure that Jefferies and FINRA...

Editor / Supervisory Analyst

UBS - 1,496 reviews - New York, NY
Must be FINRA Series 7, 16, and 24 licensed. Interpreting US regulatory requirements from a supervisory standpoint, including FINRA and SEC rules on investment...
Desired Experience: GAAP, IFRS

Venture - Principal

SeedInvest - New York, NY 10012 (Little Italy area)
$100,000 - $120,000 a year
Since then, SeedInvest has worked closely with members of the SEC, FINRA, the White House, and the Treasury Department on the implementation of the JOBS Act....
Easily apply

Associate - Credit Analyst

BNP Paribas - 1,799 reviews - New York, NY
FINRA Registrations Required:. BNP Paribas is a leading bank in Europe with an international reach....

Compliance Advisory Officer

Natixis - 116 reviews - New York, NY
Federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, the Federal Reserve Bank, the...

Compliance Advisory Officer

NATIXIS Americas - New York, NY
Federal and state laws and rules and regulations, including the rules and regulations of the Securities and Exchange Commission, the Federal Reserve Bank, the...

Regional Advisor Consultant

OppenheimerFunds - 36 reviews - New York, NY
FINRA Series 7 & 63 preferred. The Regional Advisor Consultant will manage a region with external partner to attain both revenue and profitability goals....
Desired Experience: CFP, Certified Investment Management Analyst

Analyst - Organic account onboarding

computing concepts inc. - New York, NY
$32.00 - $32.01 an hour
Needed to work with senior stakeholders in BU, Credit, Risk and BRM Docs to set priorities and manage the process before fund launch, communicate and solve...
Easily apply

Rule 10b5-1 Specialist

Morgan Stanley - 2,501 reviews - New York, NY 10032 (Washington Heights area)
Morgan Stanley Wealth Management provides a range of wealth management products and services for affluent individuals, businesses and institutions. These...
Business Analyst, Global Investment Solutions
HighTower Advisors - 11 reviews - New York, NY 10017
FINRA series 7 and/or 65 licenses are a plus. The position demands a candidate that can continually self-motivate, self-monitor, and remain objective in...
Capital Markets Oversight Manager, MD
State Street - 1,756 reviews - New York, NY
FINRA Series 7 and 63. The Markets Oversight Manager role for the Global SPDR ETF business is an exciting meaningful and highly transparent position within the...
Senior Compliance Officer has experience in FINRA or Brokera...
Firstrade Securities Inc. - Flushing, NY 11354
Perform all compliance functions contemplated by FINRA rule 3130; Communicate with and respond to FINRA and SEC as needed....
Desired Experience: Certified Compliance And Ethics Professional
Easily apply