FINRA Jobs in Brooklyn (NY)
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Search Results - FINRA Jobs in Brooklyn (NY)
Fidelity Investments-Brooklyn (NY)
the Investment 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...
Brooklyn (NY)
or equivalent experience
• FINRA Series 6, 63, Life and Health Insurance licenses required; must obtain series 7 within 6 months of joining
• 5+ years of proven and progressive financial services and/or retail sales experience, or equivalent, including evidence...
icims.com -
Fidelity Investments-Brooklyn (NY)
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...
Fidelity Investments-New York, 7 mi from Brooklyn (NY)
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...
Full-service Broker-Dealer and Investment Bank - Confidential-New York, 7 mi from Brooklyn (NY)
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...
Fidelity Investments-Jersey City, 8 mi from Brooklyn (NY)
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...
Equitable Advisors-New York, 7 mi from Brooklyn (NY)
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...
QCP-New York, 7 mi from Brooklyn (NY)
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...
workable.com -
Fidelity Investments-New York, 7 mi from Brooklyn (NY)
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 and credibility...
Fidelity Investments-Union (NJ), 15 mi from Brooklyn (NY)
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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