Finra jobs in Hoboken, New Jersey (NJ) State

LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated. So we offer support and financial packages designed to make your transition into Equitable Advisors as smooth as possible. More than 4,330 financial professionals. Securities ...

... 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 ...

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 ...

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 ...

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. ...

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...

The Director develops and supervises specialists regulatory programs and work products related to the routine and special examinations/investigations and other reviews related to finances, policies, procedures, practices, and products offered by FINRA member firms and their associated persons. R...

This Director role will lead a team of data engineers supporting data acquisition and pipelining for our Advanced Analytics program, including FINRA’s knowledge graph and natural language practices. Deliver results based upon FINRA annual goals, department goals and management requests. Ensure al...

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...

Independently conducts complex analyses of FINRA firms’ communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications. Partic...

Ensure all work products meets /exceeds FINRA standards. ...

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

As a not-for-profit entity, FINRA (Financial Industry Regulatory Authority) operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and ...

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 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. FINRA is dedicated to protecting investors and ensuring the integrit...

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...

Represent FINRA before industry and regulatory groups and organizations; serve as speaker at regulatory policy public conferences and meetings of FINRA committees on areas of subject matter expertise. The incumbent is responsible for providing high quality and timely legal and advisory support to...

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...

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...

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 ...

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...

Collaborate effectively with other FINRA departments. Knowledge of securities laws and FINRA rules preferred. ...

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. ...