FINRA Jobs in New York State
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Search Results - FINRA Jobs in New York State
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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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-appcast.io-
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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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-appcast.io-
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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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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New York Life-Manhattan (NY)-
products such as mutual funds⁴ through NYLIFE Securities LLC (Member FINRA/SIPC)—to meet diverse client needs.
• Flexible Career Path: Specialize in key areas, pursue leadership, or expand into advisory services with Eagle Strategies LLC.⁵
• Autonomy...
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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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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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Chase-Rochester-
and influencing skills, with the ability to establish credibility and strong partnership with senior business and control partners
• Deep local connections and market knowledge
• Corporate finance expertise and strong transaction execution skills
• FINRA Series 79...
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Equitable Advisors-Melville (NY)-
timeline for successful completion of company sponsored required FINRA licenses and registrations.
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• Stable Pay: After successfully completing PEP, you will be eligible to become a 20th Edition financial professional. Equitable Advisors supports you...
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New York Life - Uniondale-Uniondale (NY)-
Stellar communication and math skills complemented by a proven track record of building strong client relationships with existing and prospective customers
• Up-to-date FINRA Series 7 & 63/66 documents are a bonus
• A required Bachelor's degree in business...
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New York Life - Uniondale-Uniondale (NY)-
Stellar communication and math skills complemented by a proven track record of building strong client relationships with existing and prospective customers
• Up-to-date FINRA Series 7 & 63/66 documents are a bonus
• A required Bachelor’s degree in business...
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Syracuse-icims.com-
a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals...
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Michael Page-New York-michaelpage.com-
Support LP fund financing, full-recourse margin lending, equity repo, securities lending and delta-one equity swaps
• Provide legal guidance on margin lending regulations, FINRA, Reg T, and Reg U compliance
• Provide guidance on Dodd-Frank and rules...
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