Finra $50,000 jobs in New York, NY

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Investment Consultant - Wall St., NY, NY
Fidelity Investments - 2,621 reviews - New York, NY 10002
FINRA Series 7 & 63 required prior to hire. You joined the financial services industry to make a difference in the lives of your clients through comprehensive,...
Wealth Management Advisor
EisnerAmper Wealth Management & Corporate Benefits, LLC - New York, NY
FINRA registration including Series 7 and 66 (or 63 & 65). Registration for FINRA Series 7 and Series 66 (or 63 & 65)....
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Investment Advisers Act of 1940 Omega Global Partners – New...
Omega Global Partners - New York, NY
Consult, prepare and file investment adviser and broker-dealer applications with the Securities and Exchange Commission (SEC), FINRA and states....
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Examiner - Member Regulation, Sales Practice - New York, NY

Finra - 71 reviews - New York, NY
All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of...

Operations - Ops Analyst

SeedInvest - New York, NY 10038 (Financial District area)
$70,000 a year
Conducting thorough review of company offering materials for compliance with FINRA rules. Since then, SeedInvest has worked closely with members of the SEC,...
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Market Operations Associate

Coinbase - 3 reviews - New York, NY
FINRA Series 7 and 55 or 57 license a plus. We are focused on making digital currency accessible to everyone and are guided by two key principles:....
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Entry Level - Compliance Analyst

Fortress Investment Group LLC - 6 reviews - New York, NY
Supporting affiliated broker-dealer entity by completing required FINRA reviews and lobbyist filings. Assisting with domestic and international regulatory...

Compliance Analyst

Intercontinental Exchange - 55 reviews - New York, NY 10022 (Midtown area)
Responsible for the registration process with FINRA and the NFA; Creditex Securities Corporation, a subsidiary of Intercontinental Exchange, is a FINRA....

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...

Equity Trader Trainee (July 2018)

Chimera Securities LLC - 2 reviews - New York, NY 10011 (Chelsea area)
Trainees are sponsored by Chimera for the FINRA Series 57 license and will be required to take and pass the exam prior to the start date of the training program...
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Group Retirment Plan Specialist

Frenkel & Company - 6 reviews - New York, NY 10014 (West Village area)
$65,000 - $75,000 a year
Four-year college degree • One year of experience meeting deadlines in a business or office environment • FINRA License Series 6 or 7 and 63, 65 or 66 preferred...
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Venture - Associate

SeedInvest - New York, NY 10012 (Little Italy area)
$70,000 - $80,000 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....
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Examiner - Market Regulation - TFCE, FinOps - New York, NY

Finra - 71 reviews - New York, NY
All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of...
Financial Specialist
Member FINRA, SIPC. State Life/Health Insurance, Licenses FINRA Series 6 or 7 and 63 Securities Licenses....
Investment Analyst, Multi-Asset Analyst (GIS)
HighTower Advisors - 11 reviews - New York, NY 10017
FINRA series 7 and/or 65 licenses are a plus. The position, Investment Analyst, Multi-Asset Research, Global Investment Solutions (GIS), touches all aspects of...