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Feb 22 Associate Principal Examiner, Member Regulation, ROOR (New York) Finra New York, NY

This includes collecting and reviewing member firms records and documents, customer-supplied information, and information available through our systems Knowledge of securities... more

Jan 22 Compliance Examiner | Finra New York, NY

Required experience: 0 - 2 yearsMinimum required education: Bachelor's DegreeJob category: Accounting, Insurance & Finance;Legal Competence using a desktop computer with the full... more

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Apr 15 Senior Security Engineer - Rockville, MD - Contractor Conversion Financial Industry Regulatory Authority (finra) New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual ... Ensure all work products meets /exceeds FINRA standards. more

Apr 14 Associate Principal Specialist, Credit Regulation Finra New York, NY

does not take you directly to the FINRA Careers site, enter ... qualified protected veterans. ©2014 FINRA. All rights reserved. FINRA is a registered... more

Apr 09 Associate - Leader In FINRA Licensing Exam Preparation Knopman Financial Training New York, NY

This internship is paid - 6 pmmThis is a unique opportunity to be involved in decisions that shape the operations of a business on a daily basisWe are looking for a summer intern... more

Apr 08 Regional Counsel, Enforcement Finra New York, NY

with 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 02 Enforcement Investigator Finra New York, NY Search Firm Representatives Please be advised that FINRA is ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA... more

Mar 17 Compliance/Asset Mgmt/Marketing Materials/SEC & FINRA rules New York, NY

with SEC and FINRA rulesMust have strong interpersonal, communication, written and presentation skills as well as the ability to handle multiple priorities Must be a self starter... 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

Feb 04 Vice President & Deputy, Sales Practice - NY, NY or other FINRA office location Finra New York, NY

consider a career with FINRA. Important Information FINRA’s Code of Conduct ... About FINRA The Financial Industry Regulatory Authority (FINRA) is an... more

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