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Apr 16 Senior Compliance Officer, Regulatory Examinations JPMorgan Chase New York, NY

regulators, including the OCC, FRB, SEC, FINRA, CME, NFA, and State regulators. This ... on regulatory examinations by the SEC, FINRA, and other securities regulators... more

Apr 15 AVP Internal Audit Kforce Inc. New York City, NY

with relevant key regulatory requirements (FINRA, CFTC). This will involve monitoring adherence to recent regulatory updates, plan and execute relevant audits, and provide control... more

Apr 11 Product Development Specialist Nasdaq Omx Group New York, NY

manage the TRF/Post Trade relationship with FINRA who is our partner and regulatory body ... of specific projects in tandem with FINRA and internal stakeholders, other ad-hoc... more

Apr 09 Brokerage Services Representative New York Life Insurance Company New York, NY

or equivalent work experience Series 7 & 63 FINRA licenses (must pass license exams within 120 days) Excellent verbal and written communication skills along with listening... more

Apr 03 Investment Banking M&A Associate (New York) Stifel Nicolaus New York City, NY

fectively manage multiple simultaneous project deadlines Proficiency in Excel and PowerPoint   Preferred Skills and Experience MBA preferred FINRA licenses Required Skills... more

Mar 31 Registered Salespeople Ef6982 New York, NY

g for aggressive, entrepreneurial and enthusiastic salespeople. Determination and persistence are essential qualities for this role. FINRA Series 7, 63 or 65 and clean U-4... more

Mar 26 Wealth Advisor Accounting Principals East Brunswick, NJ

QUALIFIED CANDIDATES THAT HAVE A CURRENT FINRA 7 AND 63/65 OR 66 AND STRONG BACKGROUND IN HIGH NET WORTH WILL BE CONSIDERED FOR THIS POSITION. For immediate consideration, please... more

Feb 23 Bank Regulatory Reporting Professionals RGP New York, NY

working with external regulators: SEC, FINRA, NYMEX, Federal Reserve Bank * Basel II or III reporting is a plus * Business Analysis skills such as gathering user requirements,... more

Dec 05 Corporate Attorney in New York City BCG Attorney Search New York, NY

experience with the ?33 Act and SEC and FINRA rules in connection with the representation of underwriters in IPOs and follow-on offerings as well as debt and equity take downs off... more

Sep 19 Senior Compliance Officer Equities (Multi Asset Group) Citi New York, NY

degree; * MBA or JD a plus; * FINRA registrations (e.g. Series 3, 7, 63, 24) a plus; * Past or current product compliance work experience with Structured Products, Derivatives or... more

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