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Financial Industry Regulatory Authority jobs - New York City, NY

Viewing 1 - 10 of 642 jobs

  • Financial Operations Examiner – Market Regulation, Trading & Financial Compliance Examinations - New York, NY(Job Number: 004388)

    Finra - New York City, NY

    years securities industry, financial or regulatory experience, including prior examination and/or auditing experience. ... the Financial Industry Regulatory Authority, Inc. The Compliance Examiner conducts routine review and investigations of...

    2 days ago from eFinancial Careers

  • Enforcement Investigator

    Financial Industry Regulatory Authority - New York City, NY

    to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified ... large volumes of information including trading and financial data. * Develop and consolidate various factual...

    18 days ago from ZipRecruiter

  • Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 004212)

    Finra - New York City, NY

    policy on nepotism. About FINRA The Financial Industry Regulatory Authority (FINRA) is the largest independent ... of the Financial Industry Regulatory Authority, Inc. FINRA is seeking a well qualified individual for our...

    30+ days ago from eFinancial Careers

  • Project Coordinator / Financial Services

    Advantage Xpo - New York City, NY

    Coordinator on behalf of our client, a global leader in the financial services industry, located in New York, NY. ... Prior experience in Financial Services, Banking, Law Enforcement or Regulatory environment viewed...

    15 days ago from CareerBuilder

  • Commodity & Trade Finance Analyst

    MUFG - New York City, NY

    to continuously reshaping the standards of global financial services. Positive impact starts here; see the ... of call memos and ensuring compliance with external regulatory requirement and Internal Bank policy and procedural...

    17 days ago from OneWire

  • P&C Insurance - Legal & Regulatory Analyst

    Diedre Moire - New York City, NY

    *** 3+ years insurance industry experience with formal regulatory compliance review and analysis. *** Strong ... to identify process improvement opportunities that aid in regulatory alignment and compliance activities. *** Submit...

    10 days ago from The Ladders

  • Broadway Financial Representative

    First Investors - New York City, NY

    their financial situation, risk tolerance and future financial goals. One of the most rewarding aspects of working ... First Investors is a member of: FINRA (Financial Industry Regulatory Authority) ICI (Investment Company Institute)...

    7 days ago from Glassdoor

  • Head of US Regulatory Filtering (Strategy)

    Deutsche Bank - US - Jersey City, NJ

    Required: Several years of experience in the financial industry, ideally in the regulatory filtering and/or ... Qualification: Several years of experience in the financial industry; University degree or equivalent Opportunities...

    2 days ago from eFinancial Careers

  • Commodity & Trade Finance Analyst

    Mufg Union Bank - New York City, NY

    to continuously reshaping the standards of global financial services. Positive impact starts here; see the ... of call memos and ensuring compliance with external regulatory requirement and Internal Bank policy and procedural...

    17 days ago from ZipRecruiter

  • Global Financial Crimes: AML Program Manager

    Leading Global Financial Services Firm - New York City, NY

    Securities and Exchange Commission, Financial Industry Regulatory Authority, etc.) Knowledge - Have knowledge of ... legislative and regulatory requirements Financial Services, Risk Management, Regulatory Affairs, Project...

    5 days ago from IvyExec