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Mar 13 US only-Branch Auditors FINRA-SEC Temporary Contract New York City, NY

to hire auditors with experience with SEC or FINRA compliance audits. US ONLY. You will be assigned local branch offices to audit, so travel will be limited. Typical engagement... more

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Apr 18 Litigation Paralegal, Enforcement Finra New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual ... your resume through our career site at – no phone calls, please. more

Apr 18 Compliance Examiner - Member Regulation, Membership Application Program Finra New York City, NY

executives, consultants/ counsel and FINRA management, including information ... and guidelines through completion of FINRA's structured training programs, which... more

Apr 18 Associate Director, Risk Management Finra New York City, NY

ensuring that internal risk models provide FINRA’s leadership with historical and ... data and safeguard such data in FINRA’s possession. * Keeps current with and... more

Apr 14 Case Assistant I - Dispute Resolution Finra New York, NY

FINRA. Important Information FINRA’s Code of Conduct imposes restrictions on ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an... more

Apr 11 Corporate General Counsel Counsulting New York, NY

ed investment adviser compliance/legal experience at a major law firm or in-house. Knowledge of Securities Act, Advisers Act, Investment Company Act and FINRA regulations... more

Apr 09 Analyst - Valuation & Financial Opinions Stout Risius Ross New York, NY

ngeles, New York, Tysons Corner, and Washington, D.C. SRR is a trade name for Stout Risius Ross, Inc. and Stout Risius Ross Advisors, LLC, a FINRA registered broker-dealer and... more

Mar 21 Bank Regulation Advisor Officer Michael Page Kearny, NJ

k alongside CCO on ad-hoc project basis The ideal candidate will have:? Deep understanding of OCC rules and regulations? Comfortable with FINRA and SEC rules? Experienced with... more

Mar 06 Mutual Fund Paralegal Complistaff New York, NY

candidate will - Draft filings for SEC, FINRA, etc Prepare for and work directly with the Board of Directors Draft meeting memorandum Review and edit documents for various filings... more

Apr 03 Senior Equity Research Sales Executive Wedbush Securities New York, NY

Equity Research Sales accomplishments * FINRA 7, 63 licenses (active) * Existing buy-side client relationships If you are currently employed in this type of position and meet our... more

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