Trabajos finra en Hoboken, New Jersey (NJ) State

Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Investment advisory products and services offered through Equitable Advisors, LLC, an SEC-registered investment advisor. LPL Financial, member FINRA, SIPC, is ...

At a glance o More than 2.8 million clients o More than $220 billion assets under management o More ... Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC ...

Good knowledge of SEC and Finra regulatory reporting requirement (e.g., 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statements, Finra 4210, etc.) * Product knowledge in Broker Dealers ...

... Elite Advisor Group firms o 80 branch offices Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Investment ...

Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner. Moderate and/or present subject matter material at internal meeting and conferences including, new analyst trainings or other FINRA training programs. Exemplify the FINRA Leadership Chara...

Deliver high-quality work products that meet or exceed FINRA standard. ...

Demonstrates a culture of FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. The Associate Principal Investigator conducts comprehen...

Recommend charges and sanctions consistent with FINRA’s priorities and principles;. Draft and finalize settlement documents that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction. ...

Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. This Senior Analyst position within the Surveillance and Market Inte...

Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner. Moderate and/or present subject matter material at internal meeting and conferences including, new analyst trainings or other FINRA training programs. Exemplify the FINRA Leadership Chara...

Demonstrates a culture of FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. The Principal Investigator conducts comprehensive and t...

Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. This Senior Analyst position within the Surveillance and Market Inte...

Demonstrates a culture of FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. The Associate Principal Investigator conducts comprehen...

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. ...

Intermediate knowledge of FINRA's risk fundamentals. ...

The Associate Product Manager assists with the process of defining product and product feature requirements and communicating those requirements to user experience and technology delivery teams.This includes leveraging user feedback, business strategy, data/analytics, and input from design and te...

Legal externs work closely with Enforcement’s attorneys, investigators and management to assist Enforcement in investigating and determining whether FINRA regulated firms and/or associated individuals violated the federal securities laws or FINRA, or MSRB rules. FINRA requires at least one credit...

Demonstrates a culture of FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. The Principal Investigator conducts comprehensive and t...

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. The Director is also responsible fo...

Independently conducts complex analyses of FINRA firms’ communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. As a not-for-profit entity, FINRA (Financial Industry Regulatory Authority) operates under the oversight of the SEC ...

The Principal Analyst uses statistical methods to enhance the risk analysis and participates, with the Director or Senior Director, in consultations with FINRA Technology, and MSRB and SEC staff regarding data provided by those organizations that is necessary for FINRA to fulfill its examination ...

The Principal Analyst in the Regulatory Services Management team (“RSM”) in FINRA’s Department of Market Regulation and Transparency Services (“MRTS”) is responsible for performing a wide variety of tasks in support of establishing and maintaining controls for RSM standard and non-standard report...

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. As a not-for-profit entity, FINRA ...

Provide investigative and legal support to Enforcement.Perform legal research for staff attorneys.Assist with preparing exhibits and sharing exhibits for on-the-record testimony.Assist with customer interviews and prepare memorandum.Assist investigators with investigative tasks such as data entry...