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FINRA Jobs in New York

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Search Results - FINRA Jobs in New York
Wedbush Securities-New York
recognized investment banking firm (including significant origination and execution experience with both M&A and public financing transactions)FINRA Series 79 required; Series 24 preferredProven track record with increasing responsibilities of lead...
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...
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 -
Citigroup-New York
CFTC, FINRA, NFA. The Capital Markets Regulatory Engagement Officer is responsible for the execution of the Capital Markets Engagement Strategy, which includes leading and / or assisting in the management of regulatory activities (i.e., Examinations...
New York Life Insurance Company-New York
in an incentive program. Please note: 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...
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Direct Counsel, LLC-New York
and application. Engage in legal writing, securities offerings, and corporate governance principles. Work with regulators including the SEC and FINRA. Qualifications: Minimum of four years of experience in compliance and regulatory matters. Outstanding oral...
resume-library.com -
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...
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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 -
Blackstone Group-New York
have:8+ years of prior experience at a law firm and/or investment management firm;Prior experience in a compliance role and/or J.D. required;Understanding of the Advisers Act and FINRA regulations strongly preferred;Knowledge of hedge funds and drawdown...
SGA Inc.-New York
Skills: 5+ years' experience with both: Regulatory IT (e.g., FFIEC Guidelines, NYS DFS, FRB NY, FINRA, OCC) Audit or Exam Management (e.g., governance, audit, control functions, compliance, risk management) Candidates should have knowledge...
resume-library.com -
RSM US LLP-New York
CPA certifications a plus  •  Understanding of regulations and/or banking regulations (e.g., TILA, RESPA, HMDA, FCRA, FACT, fair lending, CRA, Reg. D, Reg. E, Reg. DD, Reg. EE, Reg. O, GLBA, privacy, UDAAP, etc.)  •  Understanding of FINRA and SEC rules...
mindmatch.ai -
Odeon Capital Group-New York
Active FINRA Series 7 and 63 licenses or willing to test. Benefits Health Care Plan (Medical, Dental & Vision) Retirement Plan (401k) Paid Time Off (Vacation, Sick & Public Holidays) Family Leave (Maternity, Paternity) Short Term & Long Term...
resume-library.com -
Citigroup-New York
and mitigation leadership experience across investments (including capital markets, alternative products) and insurance (including life, non-life, annuities)Deep understanding of US regulations including SRO/ FINRA requirements, Investment Advisors Act...
New York Life Insurance Company-New York
and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program. Please note: This role requires FINRA licensed and/or FINRA...
appcast.io -
Citigroup-New York
understanding – familiarity with the Uncleared Margin Rules, FINRA 4210, EMIR, MiFID II, CASS and other regulations directly or indirectly driving collateral management prioritiesSubject matter expertise – good understanding of related fields such as cash...
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