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Finra financial Industry Regulatory Authority jobs - New York, NY

Viewing 1 - 10 of 725 jobs

  • Analyst II Client Acquisition Effectiveness (105267-1)

    TD Ameritrade - Jersey City, NJ

    limit to what you can accomplish. As a leading employer in financial services, we believe in building strong ... member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD)...

    27 days ago from TD Ameritrade

  • Finance & Risk, Regulatory & Compliance Sr. Manager

    Accenture - New York City, NY

    opportunities for you in Risk Management within the Financial Services Industry. Much of the work we do is at ... Operating models and/or Compliance Standards within the Financial Services industry * Firm Excellent communication...

    30+ days ago from

  • Regulatory Coordinator

    Open Systems Technologies - New York City, NY

    to the lead coordinator for answering regulatory requests (FINRA, SEC, FRBNY), working with businesses to gather ... of the Financial Industry (specifically Wealth Management, Regulatory requirements around book keepings) a plus...

    26 days ago from StartWire

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

    Finra - New York City, NY

    company's policy on nepotism. About FINRA The Financial Industry Regulatory Authority (FINRA) is the largest ... FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is seeking a well...

    30+ days ago from eFinancial Careers

  • Regulatory Risk - Capital Markets

    Compliance Search Group - New York City, NY

    professional who will be responsible for providing regulatory compliance Services to financial institutions in ... development of deliverables. Responsibilities: • Provide regulatory compliance services to financial institutions in...

    30+ days ago from The Ladders

  • Finance & Risk, Regulatory & Compliance Manager

    Accenture - New York City, NY

    Title:MC-Risk Management, Financial Services Regulatory Compliance, PE&CE Manager Location: New York NY, Charlotte NC, ... and/or Compliance Standards within the Financial Services industry * Firm Excellent communication and facilitation...

    30+ days ago from

  • Structured Finance - Compliance, VP

    Compliance Search Group - New York City, NY

    guidance to the Structured Finance platform on regulatory requirements, establishing an appropriate control ... with global regulatory groups, assisting with regulatory inquiries and participating in reputational and other...

    30+ days ago from The Ladders

  • Private Bank Investment Lab Analyst VP SVP

    Citi - New York, NY

    markets and instruments. Familiarity with quantitative financial methodologies such as Monte Carlo simulation, ... relationships and broadening coverage Knowledgeable with financial tools like Bloomberg and Morningstar...

    30+ days ago from Citi

  • AVP Compliance and Internal Audit (Financial Industry)

    Staffor Consulting - New York City, NY

    matter management, regulatory filings, GRC, and pre/post trade compliance.•Strong understanding of FINRA and SEC ... financial, technical and business acumen•Must demonstrate managerial diplomacy in resolving issues to/from/within the...

    17 days ago from ZipRecruiter

  • Licensed Financial Specialist

    PNC - Avenel, NJ

    or related field or equivalent experience in the financial field is required FINRA Series 6 or 7, 66 (or 63 & ... center, insurance call center, retail banking, or other financial services. Must have demonstrated experience in...

    27 days ago from PNC Bank