FINRA Jobs in New York
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Search Results - FINRA Jobs in New York
AGP/Alliance Global Partners-New York
Job Description
Job Description
Job description
About the Job
A.G.P./Alliance Global Partners
A.G.P. / Alliance Global Partners is a regional investment and advisory firm that has been a member of FINRA and registered with the SEC since 1980...
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Equitable Advisors-New York
impact others' lives
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• Collaboration: ability to work with and learn from top performers
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• Work Authorization: must be authorized to work in the United States
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Training & Development
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• FINRA Sponsorship: provided for required...
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Jobot-New York
FINRA/SEC Partner - NYC
$500000 - $1000000 per year | New York, NY | On-site | Permanent
Confidential search for a FINRA/SEC Partner to join a well-established, entrepreneurial law firm in New York City.
A bit about us:
We are conducting...
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Social Capital Resources-New York
for U.S. FINRA-registered broker-dealer.
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• Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules.
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• Responsible and accountable for the design...
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Jobot-New York
Jobot is confidentially seeking a FINRA/SEC Partner to join a well-established, entrepreneurial firm in New York City. The opportunity offers a permanent, on-site role with a $500k–$1,000k annual compensation and uncapped commissions.
The candidate...
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Citigroup-New York
oriented team player able to work without directionRequired current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent.Must meet ALL US FINRA Registration requirements within 150 days of starting in the role.Life insurance...
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iCapital-New York
registrations, licensing, exemptions, and ongoing obligations with regulators including the SEC, FINRA, and international authorities.
• Policies & Controls: Ensure the development and maintenance of scalable policies, procedures, training, and controls aligned...
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Citigroup-New York
to work without direction.Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent.Must meet ALL US FINRA Registration requirements within 150 days of starting in the role.Insurance Group 1 required.Must meet ALL...
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Portage Point Partners-New York
per week and willing to work at client sites as needed
• 15 plus years of middle market investment banking experience
• Maintains Series 79, 63 and 24 FINRA license or ability to obtain within 120 days of employment
• Experience with privately held...
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Brex-New York
ReserveBroker-dealer regulatory experience, such as responding to FINRA or SEC examinations and information requests, handling FINRA customer arbitrations and complaints, Rule 4530 reporting, or advising on SEC enforcement inquiries and subpoenasExperience...
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MUFG-New York
but is not universally required
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CERTIFICATIONS
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• Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE), Series 7, Series 79 and Series 63
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WORK EXPERIENCE
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• Demonstrated client-facing or execution experience...
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US Bank-New York
of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines...
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Social Capital Resources-New York
Rapidly growing Financial Services firm based in New York City is seeking a Chief Compliance Officer for a full-time position!
Responsibilities:
• Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer...
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Citigroup-New York
to work without direction.Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent.Must meet ALL US FINRA Registration requirements within 150 days of starting in the role.Insurance Group 1 required.Must meet ALL...
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Arqfinance-New York
for our SEC-registered investment adviser, and act as the proposed CCO for our introducing broker-dealer through its FINRA New Member Application (NMA) and launch. You will bring prior CCO experience across both SEC-registered RIAs and FINRA broker-dealers...
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