FINRA Jobs in New York State
1 - 15 of 54
Search Results - FINRA Jobs in New York State
Fidelity Investments-Ossining
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...
Read more
Full-service Broker-Dealer and Investment Bank - Confidential-New 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...
Read more
Fidelity Investments-Katonah
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...
Read more
QCP-New York
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...
Read more
workable.com -
Fidelity Investments-Palisades (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...
Read more
Equitable Advisors-Plainview (NY)
the opportunity to achieve success.
Characteristics of a top Financial Professional include:
• A four-year college degree is preferred but not required
• Relevant FINRA securities registrations
• If you do not have them, you will be required to attain state...
Read more
jobvertise.com -
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...
Read more
FutureSight-New York
FutureSight is hiring an experienced and visionary Founding CEO to lead the launch of a new AI Compliance venture serving SEC- and FINRA-regulated firms. Today, compliance teams at RIAs and broker-dealers spend countless hours manually reviewing...
Read more
workable.com -
Fidelity Investments-White Plains (NY)
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
Robotics technology LLC-New York
with regulatory frameworks (SEC, FINRA) and data governance. Preferred Attributes: Experience with platforms like E*TRADE, Shareworks, or Morgan Stanley Online. Passion for delivering intuitive, secure, and scalable digital experiences.
Ability to thrive...
Read more
jobvertise.com -
Fidelity Investments-White Plains (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...
Read more
9 similar jobs: Palisades, New York, Greenwich, Fairfield, Wilton...
New York
Minimum Required: 10 years of financial services experience.
Licenses & Credentials:
• Minimum Required: FINRA Series 7 & 63.
• FINRA Series 65 (66) may be required depending on the business coverage.
Systems & Technology:
• Proficient...
Read more
icims.com -
Fidelity Investments-South Salem (NY)
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
Queens
are required for sponsorship of FINRA licensing.
• Employees must successfully obtain all other applicable licensing and certifications for role including, but not limited to, LTC Certification, Annuities Certification and potential state securities licensing...
Read more
statefarm.com -
Fidelity Investments-Ossining
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
1234
FINRA jobs – More cities:
Broaden your job search:
Don’t miss out on new job openings!
Create a job alert for: FINRA, New York State
It's free, and you can cancel email updates at any time
1234