FINRA Jobs in New York State
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Search Results - FINRA Jobs in New York State
Edward Jones-Nanuet
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...
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 -
Santander Holdings USA Inc-Staten Island
strong internal and external relationships in an effort to develop referral sources and meet appointment objectives.
• Maintains required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's...
Edward Jones-Fairport (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...
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 -
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...
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 -
Sumitomo Mitsui Banking Corporation-White Plains (NY)
their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
We are an equal employment opportunity employer. All qualified...
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 -
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...
SpeedTrader-Katonah
Perform additional tasks and responsibilities as directed by the CCO to support overall compliance function
Skills and Qualifications
• High School Diploma or equivalent required.
• Bachelor’s Degree preferred.
• FINRA Series 7 and 24 licenses required...
mindmatch.ai -
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 -
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