FINRA Jobs in New York State
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Search Results - FINRA Jobs in New York State
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...
jobg8.com -
IDB-New York
Job Description
Manage the daily net capital calculation to ensure compliance with FINRA's Net Capital Rule.
Prepare monthly, quarterly and annual Financial Statements including the Statement of Financial Condition, Statement of Operations, Cash...
resume-library.com -
New York Life Insurance Company-New York
and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program.
Please note: This role requires FINRA licensed and/or FINRA...
appcast.io -
Northwestern Mutual Investment Services, LLC-New York
in the investment/fiduciary management industry, with 5 years of portfolio management and client service experience.
11. Trust investment experience preferred.
12. FINRA Non-registered fingerprinted.
This position has been classified as an Associated Person under...
thecareerwallet.us -
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 -
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 -
Capco-New York
of regulatory topics pertaining to capital markets, particularly SEC, CFTC, and FINRA rules
• Self-stater who can work under pressure, using your own initiative to meet deadlines and see tasks through to completion
• Able to operate independently and use sound...
thecareerwallet.us -
Delibert Employment-Rochester
Rulemaking Board (MSRB) rules.
Qualifications:
• EDUCATION:
• Bachelors Degree or equivalent experience required.
• LICENSES:
• Valid FINRA Securities Industry Essentials (SIE), Series 7, Series 24, and Series 66 exams, or the ability to obtain them...
resume-library.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 -
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 -
New York
planners, healthcare providers, insurance brokers and agents, school districts and municipalities, property appraisers and inspectors, real estate appraisers, brokers and agents, and securities brokers (FINRA).
We offer competitive compensation...
icims.com -
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 -
Rhinebeck
Certification or ability to pass within 120 days of employment
• Must be able to pass the FINRA background screening process.
Click here to view full job description
Why choose HVCU?
HVCU cares for our employees, members, and community. We actively seek...
hvcu.org -
Robert Half-New York
and separately managed account reconciliation process and quarterly statement reporting.
• Supporting the monthly GIPS strategy performance reporting and review, and analyzing monthly account dispersion.
• Assisting in quarterly regulatory FINRA focus filings...
roberthalf.com -
New York
brokers and agents, and securities brokers (FINRA).
Although we would prefer that you have some experience in professional liability law, we are also interested in working with developing talented attorneys who come to us with excellent skills in any...
icims.com -
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