Finra jobs - New York, NY
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Featured Job Postings from the Web
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| May 03 | Corporate FINRA and Securities Litigation attorney (partner) | Law Firm | New York, NY |
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securities litigator (commercial/contract FINRA etc..) this opportunity is for you ... real estate and securities cases, FINRA Arbitration and SEC litigation. We are... more |
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| May 28 | AGC | Robert Half Legal | New York, NY |
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high yield bonds, Rule 144A offerings, FINRA rules and regulations, contract drafting of vendor and other agreements and willing to deal with some compliance and other legal... more |
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| May 26 | Compliance Officer | Permal | New York, NY |
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nce Strong interpersonal skills High level attention to detail Excellent communication skills - oral and written Firm has ability to hold FINRA licenses Able to take initiative... more |
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| May 25 | Midtown Manhattan Investment Banker / Broker Trainee Position | Arjent | New York, NY |
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About Us: Arjent LLC, a member of FINRA, SIPC and Participant MSRB, is a boutique investment banking firm focused primarily on serving emerging and middle market companies and a... more |
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| May 25 | Staff Tester | Finra | New York, NY |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 25 | Litigation Support and Technical Analyst | Finra | New York, NY |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 24 | Lead Developer | Finra | New York, NY |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 24 | Assistant Director - Market Regulation, Options Regulation | Finra | New York, NY |
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to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 22 | Marketing Review Specialist - GWIM Compliance Specialist | Bank of America | New York, NY |
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Candidate should possess strong knowledge of FINRA and SEC rules and regulations, particularly FINRA's Communications with the Public Rules. Attention to detail required and the... more |
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| May 21 | Branch Financial Advisor | PNC | New York, NY |
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financial sales experience required. * FINRA Series 7 and 66 or (63 & 65) licenses required. * Life Insurance License required. * Bachelor's degree preferred with an emphasis on... more |
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| May 21 | Experienced Stock Broker | Olympia Capital Markets Group | New York, NY |
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the Financial Industry Regulatory Authority (FINRA), the Securities Insurance Protection Corporation (SIPC), the Municipal Securities Rulemaking Board (MSRB), and the NASDAQ Stock... more |
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| May 18 | Stockbroker Trainee | Hfp Capital | New York, NY |
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We are a FINRA/SIPC member firm on Park Avenue in Midtown Manhattan seeking recent college graduates We pay all expenses and offer sponsorship for Series 7 and 63 licenses You... more |
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| May 18 | Senior Compliance Manager | Complistaff | New York, NY |
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compliance with the requirements of the FINRA and SEC, and the firm?s policies and procedures Assist with design and performance of compliance audits, informing management of the... more |
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| May 08 | Investment Management Attorney | Staffingforce | New York, NY |
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me brokerage, administration, custodian, and other third-party service provider agreements. -Strong knowledge of Compliance rules and regulations of SEC, FINRA and other... more |
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| May 03 | Financial Planner Private Bank Investment Lab | Citi | New York, NY |
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d Contributions Plans, concentrated stock positions, stock options analysis, and business succession planning for privately held companies is critical -FINRA Series 7, 63 and 65... more |
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| Apr 29 | Compliance Associate - Broker Dealer | Major International Bank | New York, NY |
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of 1934, Investment Advisers Act of 1940 and FINRA rules and regulations. Draft and review ... line with regulatory guidelines by the SEC, FINRA, and the NYSE. Requirements Registered... more |
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| Apr 27 | NYC: FINRA Arbitrations Partner Needed | New York, NY | |
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law firm looking to add partners with FINRA Arbitration experience for their NYC office. Groups are encouraged to apply. Books of business should be over $600K. We have clients... more |
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| Apr 03 | Financial Controller | Othersfetchwedeliver! | New York, NY |
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Handle all accounting, regulatory reporting, FINRA for growing corporate bond electronic exchange company. Manage a staff of 3. Qualifications: 10-20 years experience Series 27... more |
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| Mar 22 | Fixed Income Compliance Specialist | Michael Page International | New York, NY |
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t The ideal candidate will meet the following qualifications: Series 7 Excellent knowledge of fixed income products Knowledge of SEC/FINRA regulations Excellent... more |
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| Mar 02 | Compliance Officer / Broker Dealer | Sinon Group | New York, NY |
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approval and client account activity * FINRA and NASD licenses a plus ... * Communications with FINRA * Understand FINRA requirements regarding website and... more |
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| Feb 09 | Financial Reporting Specialist | Parker Clark Executive Recruitment | New York, NY |
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s, preparing audited financial statements, preparing quarterly Head Office reports, and preparing Focus Reports. A CPA and working knowledge of FINRA is required and a Series 27... more |
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| Jan 11 | FINRA / Blue Sky Specialist | Special Counsel | New York, NY |
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Top tier NY firm seeks a FINRA / Blue Sky Specialist. Candidates must have a minimum of 4-6 years of applicable experience, gained in a comparable top tier law firm setting, and... more |
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| Oct 25 | Business Analyst - FINRA Trace Feb 2011 Rule Changes Project | Intersearch | New York, NY |
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(ABS) transactions as per changes to FINRA Rule 7730 effective February 14, 2011. ... client?s institutional platform (known to FINRA TRACE as SALB), which will include... more |
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| Oct 07 | Midlevel Securities Regulatory Associate (Attorney) | Kinney Recruiting | New York, NY |
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at a large law firm AND at the SECor FINRA. The group is collegial and growing. Please have a JD from a Top 25 law school with a 3.4+GPA. Please submit resume/transcript to be... more |
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| Jun 15 | Senior Equity Research Sales Executive | Wedbush Securities | New York, NY |
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Eqiuty Research Sales accomplishments * FINRA 7, 63 licenses (active) * Existing buy-side client relationships If you are currently employed in this type of position and meet our... more |
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