FINRA Jobs in New York
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Search Results - FINRA Jobs in New York
Financial Industry Regulatory Authority-New York
Council (NAC).Essential Job Functions:Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules...
Santander Holdings USA Inc-New York
Primarily responsible for executing compliance processes and controls for initiating, maintaining, and updating SEC, CFTC, FINRA, NFA related registrations and filings for the Firm and associated persons including Forms U4/U5, Form BD, Form BR, Form 7R...
Capital One-New York
three institutional FINRA registered broker dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary. The broker dealers being supported include Capital One...
Confidential-New York
Compliance Independent Testing – Examiner (Vice President)
NEED:
Audit or compliance testing and capital markets regulations BG. Not testing systems or IT
Regulatory experience FINRA CFTC swap dealer
8. 12 but willing to be lower in years
CIB...
mindmatch.ai -
Page Executive-New York
the business on 1940 Act experience, Securities Act of 1933, Securities Exchange Act of 1934 and FINRA regulations.
• Assess and mitigate regulatory and reputational risks with respect to product offerings and financial technology services.
• Collaborate...
appcast.io -
JCW-New York
Senior Compliance - Investment Banking
Location: New York. NY (hybrid)
Overview:
We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA...
mindmatch.ai -
Hold Brothers-New York
in compliance with FINRA and SEC requirements
Manage daily accounting duties including, but not limited to, account payables/receivables, account/vendor reconciliations, revenue recognition and ad-hoc projects as assigned
Requirements
Bachelor’s degree...
resume-library.com -
Equitable Advisors-New York
as sitting for the SIE which must be passed prior to onboarding
• We will sponsor your pursuit of FINRA Series 7 and 66 registrations which must be passed prior to onboarding
• Results-driven, highly motivated, self-starter who possesses integrity, a strong...
mindmatch.ai -
Hold Brothers-New York
our proprietary software and API connectivity. This fast, efficient operation offers comprehensive summary reporting and superior technology and service. Hold Brothers is a self-clearing broker-dealer is a member of FINRA and SIPC.
Job SummaryWe...
resume-library.com -
Social Capital Resources-New York
training, written supervisory procedures, evidence of supervisory delegation, non-branch and OSJ remote office inspection and other SEC/FINRA regulatory requirements
• Work with registered funds’ transfer agent in addressing and resolving exceptions (e.g...
mindmatch.ai -
Odeon Capital Group-New York
Education and Experience
Bachelor’s degree.
3. 5 years’ relevant experience.
FINRA licensed- Series 7, 63, 86, and 87 or willing to test prior to hire.
Experience and in-depth understanding of Event-driven strategies, including but not limited...
resume-library.com -
BGC Group-New York
Job Title: FINRA 3120 Testing Analyst
Location: New York City/New Jersey /Hybrid (4/1)
Firm Overview:
BGC Partners is a leading global brokerage and financial technology company. BGC specializes in the brokerage of a broad range of products...
mindmatch.ai -
New York Life Insurance Company-New York
factors including previous work experience, specific industry experience, and/or skills required.
Please note: This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.
Recognized as one of Fortune’s World’s Most Admired...
appcast.io -
Odeon Capital Group-New York
sales experience.
Active FINRA Series 7 and 63 licenses.
Expertise and knowledge in the US Treasury market.
A client book of business that will transfer to Odeon.
Benefits
Health Care Plan (Medical, Dental & Vision)
Retirement Plan (401k)
Paid...
resume-library.com -
New York Life Insurance Company-New York
This role requires FINRA licensed and/or FINRA Associated Person pre-hire fingerprinting.
We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan...
appcast.io -
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