Finra jobs - New York
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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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More Job Postings from the Web
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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 | Banking | General Counsel Counsulting | Rochester, NY |
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degree, CFP, CPA or ChFC are advantageous. FINRA Series 7 and 66 registrations are preferred. Strong business background and personal history of success. Strong interpersonal and... 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 18 | Attorney II | Finra | New York, NY |
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relevant rules and regulations thereunder, FINRA's rules, MSRB Rules, and FINRA's Code ... and Affirmative Action Employer 2012 FINRA. All rights reserved. FINRA is a... more |
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| May 18 | Life Insurance Distribution - FINRA / SEC Attorney | Vintage Legal | New York |
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on legal issues under the SEC regulations, FINRA rules, as well as other state and federal insurance laws. Attorney will negotiate, draft and review documents and agreements and... 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 17 | 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 16 | Extern - Transparency Services-Corp Debt | 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 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 04 | Compliance Officer, Investment Advisory Services Job | Capital One | Melville, NY |
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responsible for assisting with compliance to FINRA, SEC and state regulatory requirements ... in the investment advisory industry FINRA Series 7, 24 and 63/65 and insurance... 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 | SQL Database Reporting Leader | Etrading | New York, NY |
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wn reporting engine. Final salary and compensation depending on experience and ther factors Knowledge of regulartory reporting, OATS and FINRA is a plus, but not required. 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 12 | Financial Controller | Others Fetch, We Deliver! | 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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| Apr 03 | Analyst II Investment Banking | Wedbush Securities | New York, NY |
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retail industry extremely desirable * FINRA Series 79, 63 licenses preferred * Must be highly proficient in MS Word, Excel, PowerPoint * Excellent verbal and written communication... 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 16 | Financial Industry Regulatory Authority (FINRA) | Binghamton University | New York |
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registered securities representatives. FINRA's independent regulation plays a ... and the International Securities Exchange. FINRA has approximately 3,000 employees and... 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 16 | Senior Manager of Compliance Audit | Peak Accounting | New York |
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sed on the retail brokerage industry. Strong knowledge risks and a technical understanding of the regulatory environment with respect to FINRA, SEC and NFA rules are a must. MBA... 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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