Finra $70,000 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...
Financial Advisor
Job Description Financial Advisor Training Program Are you seeking a new career, with the entrepreneurial freedom to build your own book of business and...
Director - Member Regulation, Risk and Data Assessment - New...
Finra - 70 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...

Fixed Income Trading Assistant

Critical Positioning (Recruiting on behalf of Clie... - New York, NY
$80,000 - $100,000 a year
FINRA Series 7 (Required). This NYC headquartered firm is a New York Stock Exchange member providing full-service brokerage to institutions and high-net-worth...
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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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Assistant Controller

t0 (tZero)/Overstock.com - New York, NY
$75,000 - $105,000 a year
FINRA reporting requirements a plus. Assistant Controller may also responsible for preparation of quarterly reports to FINRA....
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Business Development Associate

SeedInvest - New York, NY 10014 (West Village area)
$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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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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Analyst

HSBC - 9,555 reviews - New York, NY
FINRA series 63 and 7 required. To provide client management coverage on the Asset Manager Coverage team....

Associate-Finance - IBD31318UGNR

Goldman Sachs - 1,075 reviews - New York, NY 10282 (Tribeca area)
MORE ABOUT THIS JOB Associate-Finance with Goldman Sachs & Co. LLC in New York, NY. Work Schedule: 40 hours per week (9:00 a.m. to 6:00 p.m.)...

Director – Head of Events and Partnerships

BNP Paribas - 1,794 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,...

Market Operations Associate

Coinbase - 4 reviews - New York, NY
Securities market experience, with FINRA Series 55 and Series 24 licenses a plus. Our vision is to bring more innovation, efficiency, and equality of...

Compliance Analyst

Intercontinental Exchange - 54 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....
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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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....
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