Trabajos finra en Jersey City, New Jersey (NJ) State - Page 2

We're hiring an Assistant General Counsel in our Regulatory group. Train and mentor other attorneys, regulatory analysts, legal assistants, and administrative assistants in OGC. This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assumin...

Prepare and file various Broker-Dealer Regulatory Reports and assist with projects and process improvement initiatives for RBC Capital Markets, LLC.Ensure compliance with SEC, FINRA, CFTC, etc.Regulatory Reporting Requirements.Assist in all aspects of preparing the FOCUS and Supplemental Reports,...

The Associate Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdict...

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 ...

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 Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Achieve Enforcement outcomes that are foreseeable and transparent ...

The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Enforcement Directors are responsible for ensuring that Enforcement attorneys conduct thorough and thoughtful factual and legal analysi...

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.Externs perform a variety of tasks ...

We are seeking a seasoned Senior Developer to join our Corporate Systems Platform Services team. This position focuses on developing and enhancing our Corporate Systems applications comprising of Workday and various applications built with Java and Python on AWS. The Senior Developer works under ...

The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters. Collaborate effectively with other Enforcement attorneys, including as a leading member of teams handling complex matters. ...

The Principal Analyst has demonstrated a highly proficient level of competence in identifying risks, developing regulatory strategies to address those risks, and working with internal and external constituents to achieve the goals of the department. The Principal Analyst possesses a highly profic...

This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and r...

Interact with regulatory bodies such as the SEC and FINRA. Qualifications: * Juris Doctor (JD) degree from an accredited law school. * Minimum of four years of experience in compliance and regulatory ...

OTC Link ATS, OTC Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. Applicants have rights under the federal ...

Maintain all appropriate FINRA/other licenses and requirements up to date. * Perform other tasks as assigned by management. SUPERVISORY RESPONSIBILITIES N/A EDUCATION AND/OR EXPERIENCE Bachelor ...

FINRA Experience is a plus. Qualifications * JD from an accredited law school * Must be admitted to practice in New York & New Jersey * 1-5 years of Civil Litigation experience * Court appearances ...

Prepare various regulatory filings for FINRA, SEC and other SRO's as necessary. Monthly accounting responsibility for certain balance sheet and P/L accounts.

... FINRA Series 27 preferred or ability to obtain series 27 within a reasonable amount of time after they are hired. • CPA preferred • Experience with the net capital and customer reserve ...

Researching and keeping up to date with industry compliance regulations, most specifically within the investment and financial services space, including SEC, FCA, FTC, FINRA, and NYDFS. * Performing ...

Willingness to study for and obtain FINRA Series 7 and 66 licenses. * Financial ability to attend a 3-week training program and work on commission - let's make it happen! What's in It for You

Preparing and filing required regulatory forms with the SEC, FINRA, and other regulatory bodies. * Providing legal and regulatory guidance to clients on compliance with federal and state securities ...

If you are licensed and if you have a prior bankruptcy, U-4 disclosures, credit issues, civil judgments, pending litigation, termination from a previous employer, or any other matter subject to FINRA ...

Active FINRA Licenses: Series 7, 63 and 24. * Deep knowledge of high-yield and distressed credit markets, including market dynamics, trading strategies, and credit analysis. * Strong relationships ...

Familiarity with various SEC, CFTC/NFA, FINRA rules and compliance policies, procedures and materials produced by asset managers, hedge funds, private equity and real-estate funds * Expertise in ...