FINRA Jobs in New York
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Search Results - FINRA Jobs in New York
PTR Global-New York
Role: Senior Project Manager - FINRA
Location: NYC, NY(Hybrid 2/3 days onsite)
Duration: 12 Month Contract (Possible Extension or Hire)
Senior Project Manager - FINRA 4210
The role will be part of a central FINRA 4210 Program Management Team...
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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...
Cetera Investment Services LLC-New York
financial objectives and provides guidance to the customer on successfully achieving those objectives.
PLEASE NOTE: Applicants are required to hold a current FINRA Series 7 and 66 (or 63/65) in order to be considered.
Job Responsibilities
The Producing...
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Santander Holdings USA Inc-New York
when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and Santander business and support functions while leading and managing responses to regulatory inquiries and examination requests.
USA Job...
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 -
Santander Holdings USA Inc-New York
when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and Santander business and support functions while leading and managing responses to regulatory inquiries and examination requests.
USA Job Function...
IQ-EQ-New York
as broker-dealers or investment advisers with the appropriate regulatory bodies
Assist in conducting mock regulatory exams; as well as assist in providing SEC and FINRA exam support
Train staff on firm processes, new regulations or takeaways from industry...
resume-library.com -
Santander Holdings USA Inc-New York
Experience in providing regulatory or compliance advice in connection with investment banking advisory engagements and transactions.
• Functional knowledge of FINRA, SEC, broker dealer regulations; knowledge of Regulation M, SEC 10b-5, and 10b-18 as well...
Fawkes IDM-New York
placements, and Regulation D offerings.
Conducting due diligence investigations in connection with prospective investments.
Preparing and filing required regulatory forms with the SEC, FINRA, and other regulatory bodies.
Providing legal and regulatory...
resume-library.com -
Santander Holdings USA Inc-New York
when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and Santander business and support functions while leading and managing responses to regulatory inquiries and examination requests.
The Compliance...
BNY-New York
in business, finance, accounting or related field
Experience:
CFP certification required
FINRA Series 7 and 66
7. 10 years experience in the financial industry
At BNY, our inclusive culture speaks for itself. Here’s a few of our awards:
• Fortune...
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 -
Page Executive-New York
securities regulatory matters
• Expertise in broker-dealer and securities laws related to municipal securities (Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules and regulations, including FINRA rules)
• Relevant...
pageexecutive.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 -
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 -
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