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Apr 11 Wealth Manager USAA Short Hills, NJ

of windows operating environment. * FINRA Series 7 and 66 (or 63 and 65) or ... knowledge of Microsoft Office tools. * FINRA Series 7 and 66 (or 63 and 65). * Life... more

Apr 10 VP, Capital Markets Coverage Leading Global British Investment Bank New York, NY

knowledge of banking regulations, as well as FINRA, NYSE and SEC rules that govern US broker dealers and investment advisors, including branch level supervision of client... more

Apr 10 VP, Investment Advisory Coverage Leading Global British Investment Bank New York, NY

of banking regulations, as well as FINRA, NYSE and SEC rules that govern US broker dealers and investment advisors, including branch level supervision of client accounts, to... more

Mar 27 Attorney, Capital Markets Leading Financial Services Firm New York, NY

and controls; and liaising with the SEC, FINRA, and other relevant self-regulatory organizations. The ideal candidate will have an impressive academic background and seven or more... more

Mar 27 Deputy Chief Compliance Officer Leading Financial Services Firm New York, NY

back office employees with respect to FINRA, SEC, and Federal Reserve Bank regulation as well as all other new regulatory initiatives.Preferred:o 10-15 years compliance experience... more

Mar 24 INTER-DEALER BROKER (FIXED INCOME) - COMPLIANCE DIRECTOR Leading Financial Services Firm New York, NY

role, and have in depth knowledge of SEC, FINRA, OCC, and Federal Reserve compliance regulations. The role is for someone who has a strong business sense and can set policy and be... more

Mar 23 Fixed Income Advisory - Compliance, Vice President Boutique Investment Bank New York, NY

guidance related to FINRA, SEC, and CFTC regulation, including Dodd-Frank Title VII Derivatives Reform and Section 619 (â?¢Volcker Ruleâ?¢);â?¢ Drafting of Compliance policies and... more

Mar 23 INTER-DEALER BROKER (FIXED INCOME)/E-TRADING - COMPLIANCE DIRECTOR Leading Financial Services Firm New York, NY

role, and have in depth knowledge of SEC, FINRA, OCC, and Federal Reserve compliance regulations. The role is for someone who has a strong business sense and can set policy and be... more

Mar 19 Trading Group Associate New York, NY

Qualifications Undergraduate degree FINRA Series 7/63 (or 66). They would be required to take the Series 55 within 90 days of starting. Excellent communication skills Proficiency... more

Dec 12 Wealth Manager - New York City USAA New York, NY

of windows operating environment. * FINRA Series 7 and 66 (or 63 and 65) or ... knowledge of Microsoft Office tools. * FINRA Series 7 and 66 (or 63 and 65). * Life... more

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