FINRA Jobs in Bronx
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Search Results - FINRA Jobs in Bronx
Fidelity Investments-Bronx
investment platform. Here, you will build long-term, dedicated relationships with customers by bringing them peace of mind as you guide them through wealth management and retirement planning strategies
The Expertise We’re Looking For
• FINRA Series 7 & 63...
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Fidelity Investments-Jersey City, 13 mi from Bronx
and recommending solutions
• FINRA Series 7 & 63 licensed; Series 65 or 66 licensed and appropriate state registrations OR ability to acquire series 65/66 upon hire
• Keen ability to present complex solutions to a knowledgeable client base while building rapport...
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Fidelity Investments-Bronx
Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations...
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Fidelity Investments-Palisades (NY), 10 mi from Bronx
and a premier investment platform. Here, you will build long-term, dedicated relationships with customers by bringing them peace of mind as you guide them through wealth management and retirement planning strategies
The Expertise We’re Looking For
• FINRA...
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QCP-New York, 12 mi from Bronx
with FINRA / SEC / CFTC / NFA.
Responsibilities
Regulatory & Supervisory Oversight
• Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer.
• Develop, implement, and maintain: Written Supervisory Procedures (WSPs...
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workable.com -
Full-service Broker-Dealer and Investment Bank - Confidential-New York, 12 mi from Bronx
and oversight of the firm’s enterprise-wide Compliance Program. This role serves as the senior compliance authority and primary regulatory liaison, ensuring adherence to SEC, FINRA, MSRB, and other applicable regulatory requirements.
The CCO is expected...
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moomoo-Jersey City, 13 mi from Bronx
around innovating the investing landscape through a digitized brokerage and wealth management platform that's designed to elevate the investment experience.
Here's a closer look at our key entities:
• Futu Clearing Inc.: An SEC registered FINRA member...
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resume-library.com -
Fidelity Investments-New York, 12 mi from Bronx
and a premier investment platform. Here, you will build long-term, dedicated relationships with customers by bringing them peace of mind as you guide them through wealth management and retirement planning strategies
The Expertise We’re Looking For
• FINRA...
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Equitable Advisors-New York, 12 mi from Bronx
entrepreneurial spirit with a desire to positively impact others' lives
• Collaboration: ability to work with and learn from top performers
• Work Authorization: must be authorized to work in the United States
Training & Development
• FINRA Sponsorship: provided...
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Fidelity Investments-White Plains (NY), 13 mi from Bronx
investment platform. Here, you will build long-term, dedicated relationships with customers by bringing them peace of mind as you guide them through wealth management and retirement planning strategies
The Expertise We’re Looking For
• FINRA Series 7 & 63...
Read more
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