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 -
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...
Santander Holdings USA Inc-New York
when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and Santander business and support functions while leading and managing responses to regulatory inquiries and examination requests.
USA Job Function...
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...
New York Life Insurance Company-Brooklyn (NY)
through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals. You’ll also be able...
mindmatch.ai -
1 similar job: Monsey
Santander Holdings USA Inc-New York
when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and Santander business and support functions while leading and managing responses to regulatory inquiries and examination requests.
USA Job...
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 -
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...
Hold Brothers Capital, LLC-New York
About the job
Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state...
mindmatch.ai -
IQ-EQ-New York
as broker-dealers or investment advisers with the appropriate regulatory bodies
Assist in conducting mock regulatory exams; as well as assist in providing SEC and FINRA exam support
Train staff on firm processes, new regulations or takeaways from industry...
resume-library.com -
Cetera Financial Group-Binghamton
to future opportunities that require industry experience and licenses (Insurance, FINRA Series 7, & 66 or 63/65 combo).
What You Will Do:
• Act as a liaison between the registered representatives and their clients.
• Answer phones, schedule appointments...
3 similar jobs: Omaha, Saint Cloud, Latham
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 -
3 similar jobs: Palm Beach, Wilmington, Dallas
Santander Holdings USA Inc-New York
when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and Santander business and support functions while leading and managing responses to regulatory inquiries and examination requests.
The Compliance...
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 -
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...
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