Finra $140,000 jobs in New York, NY

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Senior Compliance Officer, Capital Markets Compliance Adviso...
Particularly SEC and FINRA. The Senior Compliance Officer assists Compliance management in the effective implementation, maintenance and administration of the...
Director – Senior Investment Consultant, Global Investment S...
HighTower Advisors - 11 reviews - New York, NY 10017
Summary of Position The position, Senior Investment Consultant, Global Investment Solutions (GIS) touches the broad framework of all Wealth Management...
Regulatory Attorney
Natixis - 116 reviews - New York, NY
The Fed, NYDFS, CFTC, SEC, FINRA and other self-regulatory organizations. Natixis is the international corporate and investment banking, asset management,...

SVP, Senior Compliance Officer, Regulatory Compliance

Pacific Investment Management Company LLC - New York, NY
Prior involvement in the implementation of compliance programs under FINRA and NFA regulations. The Senior Compliance Officer will be a member of the compliance...

DirectorStructured Debt Origination

BNP Paribas - 2,069 reviews - New York, NY
About BNP Paribas: BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 74 countries, with more than 192,000 employees,...

IBD, Financing Group, Real Estate Financing - Capital Market...

Goldman Sachs - 1,100 reviews - New York, NY 10282 (Tribeca area)
Candidates will be required to obtain a wider set of FINRA licenses than other IBD Financing group analysts:. MORE ABOUT THIS JOB....

Quant Research, Credit

BNP Paribas - 2,069 reviews - New York, NY
FINRA Registrations Required:. Fixed Income and Equity Research and Strategy Team is responsible for most aspects of quantitative research within the Global...

Research Associate, Real Estate & REITs

Scotiabank - 2,836 reviews - New York, NY
Completion of FINRA regulatory exams & registration is required. Join the Global Community of Scotiabankers to help customers become financially better off....

Equity Research Associate

Cowen Execution Services - New York, NY
Cowen Investment Management and its affiliates make up the Company’s alternative investment segment, while Cowen and Company, a member of FINRA and SIPC, and...

Senior Compliance Officer

Fiera Capital - 5 reviews - New York, NY
Advanced knowledge of FINRA regulations. Assume Supervising Principal role for all Fiera Capital Inc....

VP- Futures Execution

BNP Paribas - 2,069 reviews - New York, NY
FINRA Registrations Required:. Derivatives Execution and Clearing (DEC) Americas manages the execution of all listed futures products via voice, DMA, and...

VP, Global Markets Americas Front Office Review of Conduct E...

BNP Paribas - 2,069 reviews - New York, NY
FINRA Registrations Required:. Global Markets is BNP Paribas’ capital markets business within the Corporate & Institutional Bank (CIB), delivering solutions...

Vice President- Head of US KYC Due Diligence

BNP Paribas - 2,069 reviews - New York, NY
About BNP Paribas: BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 74 countries, with more than 192,000 employees,...
Senior Compliance Officer, Control Room Compliance
Particularly SEC and FINRA (specifically FINRA Rule 2241). The Senior Compliance Officer, Control Room Compliance assists Compliance management in the effective...
Capital Markets Oversight Manager, MD
State Street - 1,804 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...
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