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Apr 19 Senior Vice President - Temp To Direct Hire Appleone New York City, NY

Advisors Act 1940 & Company Act 1940; FINRA Rules, Dodd Frank, CFTC; Series 7/24/3/63, AIFMD. If you feel this would be a good fit please submit your resume for review today! We... more

Apr 15 Junior Compliance Administrator (1 173860 10579260) Adecco Iselin, NJ

policies and procedures and all relevant FINRA rules.- Maintain compliance library that provides adequate and necessary reference material.- Assist with the development of... more

Mar 25 Senior Financial Advisor III Capital One Forest Hills, NY

individuals who hold their FINRA Series 7, 63 and 65/66 as well as state approved ... Basic Qualifications: - FINRA Series 7 - FINRA Series 63 and Series 65, OR FINRA... more

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

Mar 06 Attorney - Hedge Fund - Temporary Complistaff New York, NY

and in particular, Sections 3(c)(1) and 3(c)(7), the Investment Advisors Act of 1940 the Commodity Exchange. Substantive experience with FINRA rules & regs. Corporate experience... more

Feb 28 Senior Financial Advisor III Union. Capital One Union, NJ

individuals who hold their FINRA Series 7, 63 and 65/66 as well as state approved ... - FINRA Series 7 - FINRA Series 63 (If required by State) - FINRA Series... more

Jan 22 Associate Admin Manager, Merrill Edge Supervision & Control Bank of America New York, NY

Bachelor's Degree or equivalent work experience Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider... more

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