Finra jobs in Union, New Jersey (NJ) State

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...

FINRA Series 6/63/7 securities licenses and Securities Industry Essentials. ...

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...

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 ...

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...

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...

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. ...

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...

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...

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...

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...

The Senior Analyst reviews and investigates proposed public offering underwriting arrangements to ensure compliance with FINRA and SEC rules as well as other securities laws. Ensures underwriting compensation is adequately valued, within FINRA guidelines, and disclosed to investors. Drafts commen...

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...

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

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...

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...

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. ...

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. He or she will assist in setting u...

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...

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

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...

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

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 ...

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. ...