FINRA Jobs in Staten Island
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Search Results - FINRA Jobs in Staten Island
Fidelity Investments-Staten Island-
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 and credibility...
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Fidelity Investments-Union (NJ), 7 mi from Staten Island-
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...
Read more
Fidelity Investments-Staten Island-
Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations...
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Fidelity Investments-Perth Amboy, 8 mi from Staten Island-
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...
Read more
Fidelity Investments-Staten Island-
the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others.
Those laws...
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Fidelity Investments-Irvington (NJ), 9 mi from Staten Island-
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...
Read more
Full-service Broker-Dealer and Investment Bank - Confidential-New York, 12 mi from Staten Island-
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...
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QCP-New York, 12 mi from Staten Island-workable.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...
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Fidelity Investments-Perth Amboy, 8 mi from Staten Island-
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 and credibility...
Read more
Fidelity Investments-Irvington (NJ), 9 mi from Staten Island-
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 and credibility...
Read more
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