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Finra jobs - New York, NY

Viewing 1 - 10 of 1,969 jobs

  • Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Options- New York, NY(Job Number: 003500)

    Finra - New York City, NY

    and relevant rules and regulations enforced by FINRA; performs preventive compliance functions. Presents ... relevant securities laws, rules and regulations enforced by FINRA. Substantial knowledge of securities markets, member...

    30+ days ago from eFinancial Careers

  • FINRA Legal Extern, Enforcement (UNPAID)

    Finra - Jericho, NY

    We Work to Protect Investors. Join our Team. FINRA is seeking well qualified individuals for our Legal Externship - ... to investigate and initiate enforcement actions against FINRA regulated firms and associated individuals (typically,...

    2 hours ago from FINRA

  • Manager III,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR

    Financial Industry Regulatory Authority (finra) - New York City, NY

    integrity and initiative, consider a career with FINRA. Please note: FINRA's Code of Conduct imposes ... qualified protected veterans. ©2014 FINRA. All rights reserved. FINRA is a registered trademark of the...

    30+ days ago from Just Jobs

  • Lead Systems Analyst Technology, New York, NY (003841)

    Finra - Financial Industry Regulatory Authority - New York City, NY

    security controls. Ensure all work products meets exceeds FINRA standards. EducationExperience Requirements Bachelor's ... the FINRA Careers site, enter www.finra.orgcareers httpwww.finra.orgcareers into your browser to reach our site...

    11 days ago from Dice

  • Associate Examiner, Member Regulation, ROOR

    Finra - New York City, NY

    We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Examiner ... please submit your resume through our career site at www.finra.org/careers - no phone calls, please. For "Source",...

    2 hours ago from FINRA

  • Manager, Options Regulation-Market Regulation

    Finra - New York City, NY

    please submit your resume through our career site at www.finra.org/careers - no phone calls, please. Job Summary: To ... regulatory analysts with the responsibility of implementing FINRA’s options program across multiple options exchanges. .

    3 days ago from FINRA

  • BSA Compliance Officer

    Kforce Inc. - New York City, NY

    Kforce has a client seeking a BSA Compliance Officer in New York, New York (NY). Responsibilities: * Responsible for ... and Regulatory Relations, America with the day to day oversight of a comprehensive Compliance program for...

    30+ days ago from Kforce Finance & Accounting

  • Branch Examiner

    UBS - Weehawken, NJ

    to identify red flag issues and determine compliance with firm and regulatory rules and procedures * Prepare and present report findings of office visits * Remain familiar with current FINRA, SEC and state regulatory issues, as well as...

    12 days ago from UBS

  • Chief Compliance Officer - International Foreign Bank

    Michael Page - New York City, NY

    , , ? Strong understanding of the BSA/AML/OFAC processes within a global bank ? Business or law degree or related qualification with professional certification ? 8 - 15 years experience in compliance function / Regulator ? FINRA Series 7...

    30+ days ago from Michael Page

  • Legal Asst. (securities litigation)

    Wegman Partners - New York City, NY

    itigation skills and a basic knowledge of securities and FINRA regulations a must! Candidate will be working for 2 partners as well as their associates and there is some calendaring and administrative responsibilites involved. Salary,...

    30+ days ago from Wegman Partners LLC

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