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FINRA Jobs in New York

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Search Results - FINRA Jobs in New York
BNP Paribas-New York
Sections 10, 12, 13, 15, and 17 of the Securities Exchange Act of 1934 (the “Exchange Act”); (2) Section 17 of the Securities Act of 1933; (3) Regulation FD; (4) FINRA Rules 2040, 5130, 5110, 5121, 5190, 5320, and 5270; (5) Regulation M; and (6) Rule 15a-6...
mindmatch.ai -
Odeon Capital Group-New York
principles (GAAP) and the rules established by the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and other regulatory entities. The FINOP plays an important role in ensuring investor protection by being...
resume-library.com -
Lime Trading-New York
FINRA Series 7 with ability to get the 63 license  •  Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment  •  Must have strong written and communication skills  •  Experience with FINRA, Federal, and SEC...
mindmatch.ai -
Direct Counsel, LLC-New York
expertise to guide decision-making. Draft and review legal documents, including securities offerings, and ensure adherence to corporate and governance principles. Interact with regulatory bodies such as the SEC and FINRA. Qualifications: Juris Doctor...
resume-library.com -
Strategic Staffing Solutions-New York
Flexible and able to work well under pressure in a team environment  •  Strong dedication to the culture of excellence of the firm  •  MUST have experience with CDS PREFERRED QUALIFICATIONS  •  Understanding of applicable SEC and FINRA mandated regulations...
mindmatch.ai -
Hold Brothers-New York
FOCUS Reports Net Capital Computations Supplemental Schedule of Income (SSOI) Form Custody Brokerage Statement Analysis Securities Investor Protection Corporation (SIPC) Annual Audit Support FINRA Examination Support Accounting Due Diligence...
resume-library.com -
Atria Wealth Solutions-New York
and staff within a financial institution environment  •  An advanced level of performance and work ethic requiring minimum supervision CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit...
appcast.io -
Emergent365 Inc-New York
Reserve and Possession or Control), SEC Rule 17a-5, and SEC Rule 17a-13 Job Summary: Regulatory reporting team in a financial firm seeking a VP level Reg Reporting Specialist with expertise in SEC, FINRA, CFTC rules and regulations. In particular...
mindmatch.ai -
ICONMA, LLC-New York
to regulators and exchanges. This role will be responsible for maintaining and building out controls for US regulatory reporting obligations such as CAT and FINRA ORF/TRF trade and transaction reporting obligations. The role holder will require the capability...
resume-library.com -
Freedom Capital Markets-New York
Qualifications  •  Bachelors Bachelors Degree required; MBA / CFA strongly preferred.  •  FINRA Licenses: Series 7, 63, & 79.  •  Significant equity capital markets leadership experience (8+ years).  •  Demonstrable ability to win business from new clients and develop...
mindmatch.ai -
Hold Brothers-New York
our proprietary software and API connectivity. This fast, efficient operation offers comprehensive summary reporting and superior technology and service. Hold Brothers is a self-clearing broker-dealer is a member of FINRA and SIPC. Job SummaryThe firm...
resume-library.com -
Robert Half-New York
knowledge, with an Accounting Degree, CPA qualification or parts passed highly desirable. The role reports directly into the Senior Accounting Manager for the US, and will cover US GAAP/IFRS financial reporting, FINRA/FOCUS/NFA reporting, financial...
roberthalf.com -
Odeon Capital Group-New York
principles (GAAP) and the rules established by the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and other regulatory entities. The FINOP plays an important role in ensuring investor protection by being...
workable.com -
Seabury Aviation Partners-New York
Seabury Aviation Partners together with its FINRA-registered broker-dealer affiliate, Seabury Securities ( Seabury ), is an aviation-focused investment bank, restructuring and consulting advisory firm. Seabury staffs projects with relatively small...
jobvertise.com -
Hold Brothers-New York
our proprietary software and API connectivity. This fast, efficient operation offers comprehensive summary reporting and superior technology and service. Hold Brothers is a self-clearing broker-dealer is a member of FINRA and SIPC. Job Summary...
workable.com -
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