FINRA Jobs in New York
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Search Results - FINRA Jobs in New York
Green Key Resources-New York
and client communications for the Firm’s registered funds. Marketing of these funds may be done by the Firm’s registered investment advisers or its affiliated broker-dealer, and the candidate must have experience with relevant SEC and FINRA rules, including...
mindmatch.ai -
Odeon Capital Group-New York
and commercial real estate fundamentals affecting CMBS pricing and liquidity.
Ensure all trading activities align with SEC, FINRA, and other relevant regulations.
Requirements
Deep understanding of CMBS structures, prepayment risks, cash flow modeling...
resume-library.com -
Larson Maddox-New York
for:
• Supervise, coordinate, and prioritize the compliance review of marketing materials for registered funds, client communications, and other documents to ensure adherence to SEC and FINRA regulations.
• Develop and enforce processes and procedures to support...
mindmatch.ai -
G MASS-New York
of extension.
The ideal candidate will have strong knowledge of US regulatory requirements, particularly FINRA and other relevant regulatory frameworks. You will be responsible for working across regulatory projects, implementing new processes, and ensuring...
resume-library.com -
Equitable Advisors-New York
the United States
• A four-year college degree is preferred but not required
• We will help you navigate obtaining the required state licenses as well as sitting for the SIE which must be passed prior to onboarding
• We will sponsor your pursuit of FINRA Series 7...
mindmatch.ai -
Robinhood-New York
to meet the requirements of new rules/regulations
• Engage with regulators, including the SEC and FINRA, and other external parties
• Draft agreements, policies and procedures, disclosures, account documentation and website materials
• Review marketing...
appcast.io -
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 -
G MASS-New York
requirements, particularly either FINRA, SEC, CFTC and/or other relevant regulatory frameworks. You will be responsible for working across regulatory projects, implementing new regulatory processes, and ensuring adherence to compliance standards.
This role...
workable.com -
Northwestern Mutual Investment Services, LLC-New York
NMIS guidelines and requires fingerprinting and completion of required form.
Required Certifications: Non-Registered Fingerprinted - FINRA
Compensation Range:
Pay Range - Start:
$102,060.00
Pay Range - End:
$189,540.00
Northwestern Mutual pays...
appcast.io -
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 -
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 -
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 -
Odeon Capital Group-New York
or treasury
Understanding of FX trading, settlements (SWIFT, CLS), and trade lifecycle
Experience with FX trading platforms, order management systems, and Excel
Active FINRA licenses, including SIE, Series 99 (or willingness to obtain prior to hire...
resume-library.com -
Michael Page-New York
securities (Securities Act of 1933, Securities Exchange Act of 1934, MSRB rules, and related rules and regulations, including FINRA rules)
• Relevant experience in dealing with a broad range of regulatory issues in the banking industry, preferably foreign...
michaelpage.com -
New York
compliance with fixed income reporting requirements.
What We're Looking For:
• Compile and distribute daily TRACE data for all Stifel entities, including daily FINRA TRACE reject reviews, extracting the TRACE files from FINRA Gateway and uploading to EQube...
icims.com -
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