Finra jobs in Bronx, New York (NY) State

FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child w...

MEAN stack with Python (100% Remote at FINRA). MEAN stack with Python for FINRA. ...

MEAN stack with Python (100% Remote at FINRA). MEAN stack with Python for FINRA. ...

Head of Compliance: FINRA, Securities | $180,000 - $220,000 salary. Extensive experience liaising with FINRA including new product inquiries. ...

MEAN stack with Python (100% Remote at FINRA). MEAN stack with Python for FINRA. ...

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 employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child w...

Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules. Represent FINRA in a first cha...

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...

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. ...

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

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 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...

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...

Serves as FINRA’s point of contact for the fixed income industry—particularly municipal securities matters—and provides guidance to, and receives feedback from, members on fixed income matters, including as staff liaison to the FINRA Fixed Income Committee, by maintaining strong working relations...

Corporate Communications is responsible for planning and implementing proactive communications on major initiatives; working to promote positive, accurate and fair media coverage of FINRA; and promoting an engaged and well-informed workforce, among other activities. AP style familiarity and abili...

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...

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 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...

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 ...

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

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