FINRA Jobs in New York State
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Search Results - FINRA Jobs in New York State
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...
mindmatch.ai -
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...
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 -
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 -
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 -
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 -
3 similar jobs: Philadelphia, Malta, Columbia
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 -
New York
quality institution serving wealth and institutional marketplace.
• Strong academic background with an undergraduate degree and possibly an MBA, other graduate degree, or CFA
• Registered representative: FINRA Series 7 & 63 is a plus
Skills:
• Investment...
rockco.com -
Equitable Advisors-Plainview (NY)
the opportunity to achieve success.
Characteristics of a top Financial Professional include:
• A four-year college degree is preferred but not required
• Relevant FINRA securities registrations
• If you do not have them, you will be required to attain state...
jobvertise.com -
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 Summary
We...
workable.com -
New York
the Policies and Procedures of Stifel and should be completely aware of and in compliance with all FINRA, TRACE, SEC, and state and federal laws as they relate to the securities industry and the products they work in.
• Assist in maintaining transactions...
icims.com -
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