Trabajos finra en Brooklyn, 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. ...

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...

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...

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

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 ...

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...

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

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...

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. ...

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...

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. ...

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...

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...

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...

Reporting to the Senior Director of Internal Communications, this role helps drive the content strategy across FINRA’s digital internal communications channels to engage employees and connect them to FINRA’s mission, strategy, values and culture. Corporate Communications is responsible for develo...

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. 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 Associate Principal Investigator conducts comprehen...