FINRA Jobs in New York
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Full-service Broker-Dealer and Investment Bank - ConfidentialNew York
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...
City National BankNew York
by the Office of the Comptroller of the Currency (OCC), and Royal Bank of Canada (RBC) in the U.S., which operates out of a bank holding company regulated by the Federal Reserve, and with activities subject to FINRA and the SEC, it will be critical for the Head...
Fidelity InvestmentsNew York
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 AdvisorsNew York
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...
QCPNew Yorkresume-library.com
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...
Fidelity InvestmentsNew York
organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Certifications:
Series 07 - FINRA, Series 63 - FINRA
Category:
Customer Service...
QCPNew Yorkworkable.com
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...
SMBC GroupNew Yorkmindmatch.ai
legal opinions, comfort letters, engagement letters, term sheets, and other transaction documents.
• Identify U.S. and cross-border legal, regulatory, and market issues affecting the DCM and High Yield businesses, including compliance with SEC and FINRA...
New Yorkicims.com
and operations. In addition, interns are encouraged to study for the FINRA SIE exam, gaining important industry knowledge.
Job Responsibilities
• Learn how to perform daily bank reconciliations by comparing internal ledger activity to external bank statements...
Platinum Legal Search Group, LLCNew Yorkmindmatch.ai
Regulatory enforcement (SEC, DOJ, FINRA, CFTC, state AGs)
• Internal investigations and compliance matters
• Trade secrets, unfair competition, and business torts
• Appellate litigation and trial strategy
Who They’re Looking For
The firm is seeking partners...
Platinum Legal Search Group, LLCNew York
PIPEs, registered directs, and private placements
• Drafting and reviewing S-1s, resale registration statements, 10-Ks, 10-Qs, 8-Ks, and prospectuses
• Managing NASDAQ, NYSE, SEC, and FINRA processes tied to uplistings and financings
• Advising boards...
Ascendo ResourcesNew Yorkmindmatch.ai
subpoenas and regulatory inquiries from SEC, FINRA, and other regulatory authorities
• Draft responses, coordinate documentation, and ensure compliance with regulatory deadlines
• Assist in preparing legal documents, regulatory filings, disclosures...
Tower Legal SolutionsNew York
trading desk support, ETF experience, Muni experience, market trade experience, familiarity with the 33/34 act, and familiarity with FINRA.
Comp - $100/hour+ depending on experience...
Platinum Legal Search Group, LLCNew Yorkmindmatch.ai
PIPEs, registered directs, and private placements
• Drafting and reviewing S-1s, resale registration statements, 10-Ks, 10-Qs, 8-Ks, and prospectuses
• Managing NASDAQ, NYSE, SEC, and FINRA processes tied to uplistings and financings
• Advising boards...
Tower Legal SolutionsNew Yorkmindmatch.ai
trading desk support, ETF experience, Muni experience, market trade experience, familiarity with the 33/34 act, and familiarity with FINRA.
Comp - $100/hour+ depending on experience...
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