FINRA Jobs in New York
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Search Results - FINRA Jobs in New York
MissionSquare Retirement-New York
experience
One to three years of experience.
CFP, FINRA 7 and 63
Industry expertise in 457, 401, 403b, IRA’s and other qualified retirement plans
Effective presentation skills to large groups
Excellent interpersonal and communication skills
Demonstrated...
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...
jobg8.com -
IDB-New York
Job Description
Manage the daily net capital calculation to ensure compliance with FINRA's Net Capital Rule.
Prepare monthly, quarterly and annual Financial Statements including the Statement of Financial Condition, Statement of Operations, Cash...
resume-library.com -
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 -
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
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...
appcast.io -
Northwestern Mutual Investment Services, LLC-New York
in the investment/fiduciary management industry, with 5 years of portfolio management and client service experience.
11. Trust investment experience preferred.
12. FINRA Non-registered fingerprinted.
This position has been classified as an Associated Person under...
thecareerwallet.us -
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 -
Michael Page-New York
role, employee compliance, and/or within investment banking, regulatory, or legal and compliance environments.
• Familiarity with FINRA's CRD and Gateway systems, as well as any compliance management systems.
• Strong understanding of financial services...
jobg8.com -
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...
appcast.io -
Capco-New York
of regulatory topics pertaining to capital markets, particularly SEC, CFTC, and FINRA rules
• Self-stater who can work under pressure, using your own initiative to meet deadlines and see tasks through to completion
• Able to operate independently and use sound...
thecareerwallet.us -
Bridgepoint Investment Banking-New York
to Thursday, working remotely on Friday.
• Please provide your resume, a list of relevant completed M&A & Capital Raising transactions and your active FINRA licenses....
resume-library.com -
New York
TBA's, facilitate RTTM trade matching, netting and reporting to FINRA Trace
• Assist the Fixed Income Middle Office team with trade input and capture of Rates, Repo, Corporates, Lat:Am, DCM New Issue Syndicate, CLO and ABS securities.
• Assist the Fi...
tiptopjob.com -
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 -
New York
in a thoughtful and commercially practicable manner.
• Own and drive legal structuring of novel tokenized investment products.
• Prepare and review materials for compliance with various SEC/FINRA rules and complete certain regulatory filings through the SEC’s...
icims.com -
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