Finra jobs in Lindenhurst, New York (NY) State

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...

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...

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. 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 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...

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

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 Principal Analyst of the Strategic Metrics & Reporting (“Metrics”) team in FINRA’s Department of Enforcement is responsible for performing a wide variety of tasks in support of establishing and maintaining controls related to Enforcement’s production of internal and external reports, ....

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 ...

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

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 ...

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...

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 ...

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

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...

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...

... FINRA Series 7 and 66 exams (other designations a plus) · Results-driven, highly motivated, self-starter who possesses integrity, a strong work ethic and the desire to help others plan for and ...

... FINRA Series 7 and 66 registrations (to be completed on your own time but no later than within 240 days of joining) • Results-driven, highly motivated, self-starter who possesses integrity, a ...

You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered representative before you can offer investment products. Your transition ...

You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered representative before you can offer investment products. Your transition ...

Must have passed the FINRA SIE and S7 exams (for Registered Relationship Specialist role) Experience: * Minimum of 1 year in customer service, project management or extensive multi-person support