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 -
ESL Federal Credit Union-Rochester
Begins Here
ESL is seeking for a Financial Service Representative at our Hudson Ave office which supports the financial needs of this growing community. The position has a dual role, one as an already licensed representative holding FINRA Securities...
Davis Polk & Wardwell LLP-New York
Position Summary
The Blue Sky Paralegal assists Blue Sky/FINRA Counsel, who leads the Firm’s blue sky and FINRA practice, with all aspects of Blue Sky and FINRA assignments across practice areas and offices and with day-to-day requests to improve...
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 -
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 -
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 -
Flagstar Bank-East Meadow
in role. Failure to pass exam/or no attempt to take exam will result in removal from LBE program)
• FINRA Security Industry Essentials (SIE) (required within 90 days of passing the Life and Health Insurance exam. Failure to pass exam/or no attempt to take...
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 -
Flagstar Bank-Hicksville (NY)
experience required, if applicable) Banking, Finance/Investments or Accounting Background
• (Insert specific certifications or technical expertise i.e. required licensing, certifications, or specialized training) Insurance Licensed and/or FINRA Registered...
New York Life Insurance Company-Williamsville (NY)
long term care insurance, disability insurance and investment products offered through our broker-dealer arm NYLIFE Securities LLC (member FINRA and SIPC), a Licensed Insurance Agency, and workplace solutions offered by our Business Solutions division...
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 -
1 similar job: Menlo Park
Michael Page-New York
compliance with FINRA and other financial services industry standards.
• Implement and maintain efficient financial control systems.
• Prepare and review financial statements and reports.
• Oversee Accounts Payable, Payroll, and Insurance.
• Coordinate...
michaelpage.com -
Edward Jones-Potsdam (NY)
the assigned paid study period.
• FINRA registrations required within three months. State insurance licenses will be required.
• As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC...
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 -
Edward Jones-Patchogue
the assigned paid study period.
• FINRA registrations required within three months. State insurance licenses will be required.
• As an associate, you are required to complete ongoing training offered by the firm and regulatory authorities (FINRA and SEC...
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