Financial Industry Regulatory Authority jobs - New York, NY

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Apr 23 Regional Counsel, Enforcement Financial Industry Regulatory Authority (finra) New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regional Counsel opening in New York, NY. To be considered for this position,... more

Apr 20 Director, Financial Institutions Credit Risk Officer Chartisinsurance New York City, NY

financial system reviews incorporating financial statement review, risk framework ... authority* Good understanding of insurance industry operational practices* Excellent... more

Apr 20 SVP Regulatory Policy HSBC New York City, NY

new regulatory policies.* Act as internal regulatory policy SME for both HNAH and ... impacts.**External*** External Auditors, Regulatory Agencies, The Clearinghouse... more

Apr 19 Financial Representative First Investors Nanuet, NY

situation, risk tolerance and future financial goals. One of the most rewarding ... of: FINRA (Financial Industry Regulatory Authority) ICI (Investment Company Institute)... more

Apr 14 VP/AGC - Securities Finance and Investment Management JPMorgan Chase New York, NY

small business and commercial banking, financial transaction processing, and asset ... including the Securities Industry and Financial Markets Association, the... more

Apr 10 Director, Financial Institutions Credit Risk Officer AIG New York City, NY

financial system reviews incorporating financial statement review, risk framework ... authority * Good understanding of insurance industry operational practices * Excellent... more

Apr 09 Compliance Specialist Ny-based Bank/broker-dealer - Finance Industry New York, NY

position is responsible for conducting regulatory research; maintaining and ... implementing Dodd-Frank and similar regulatory requirements* Coordinate with... more

Mar 17 SVP Americas Head of Regulatory Compliance HSS HSBC Holdings New York, NY

about Compliance procedures, regulatory and technical/procedural updates, while ... awareness of major regulatory changes affecting assigned business(es); ensures... more

Mar 13 Long Island Financial Representative First Investors Westbury, NY

situation, risk tolerance and future financial goals. One of the most rewarding ... of:   FINRA (Financial Industry Regulatory Authority) ICI (Investment Company... more

Nov 13 Equity Research Sales New York, NY

education, ideally with an MBA or CFA. Candidate should also have a minimum of three years of equity research sales experience and existing Financial Industry Regulatory... more

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