Finra jobs in New York, New York (NY) State

Fidelity provides a business model with an existing client base and institutional feeders of business that is unmatched in the industry. At Fidelity, we empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Fidelity’s greatest advantage is o...

Fidelity provides a business model with an existing client base and institutional feeders of business that is unmatched in the industry. At Fidelity, we empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Fidelity’s greatest advantage is o...

Fidelity provides a business model with an existing client base and institutional feeders of business that is unmatched in the industry. At Fidelity, we empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Fidelity’s greatest advantage is o...

Fidelity provides a business model with an existing client base and institutional feeders of business that is unmatched in the industry. At Fidelity, we empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Fidelity’s greatest advantage is o...

Fidelity provides a business model with an existing client base and institutional feeders of business that is unmatched in the industry. At Fidelity, we empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Fidelity’s greatest advantage is o...

Fidelity provides a business model with an existing client base and institutional feeders of business that is unmatched in the industry. At Fidelity, we empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Fidelity’s greatest advantage is o...

Fidelity provides a business model with an existing client base and institutional feeders of business that is unmatched in the industry. At Fidelity, we empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Fidelity’s greatest advantage is o...

Fidelity provides a business model with an existing client base and institutional feeders of business that is unmatched in the industry. At Fidelity, we empower professional growth, flexibility and support thus enabling long-term success for you and our clients. Fidelity’s greatest advantage is o...

Education/Experience Requirements:Bachelor’s degree in Computer Science, Information Systems or related discipline with at least ten (10) years of related experience, or equivalent training and / or work experience; Master’s degree and past Financial Services industry experience preferred. FINRA ...

Job Description:Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – RatesCorporate Title Vice PresidentLocation New York, NYOverviewYou will focus on providing real-time support to the FIC Sales & Trading business. The FIC Sales & Trading business focuses on...

Our employees are our most valuable asset. Job Description ABOUT THE TEAM: Virtus employs a comprehensive, dedicated multi-market and multi-channel distribution approach to access the broadest base of potential clients in the U.S. and select markets in Europe, Asia, and Australia. Experienced, ch...

Adequate understanding of the private funds sector, broker-dealers, or related industries. SEC-registered investment adviser or FINRA broker-dealer. ...

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

Analyze financial information obtained from clients to determine strategies, financial products and services to help clients meet their financial objectives. Securities offered through Equitable Advisors, LLC (NY, NY (212) 314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). ....

The ideal candidate will have previous experience as either a controller / assistant controller or as a legal entity, product or regulatory controller at a financial services entity. The Company is seeking an Assistant Controller to join our Finance and Accounting team in New York. The individual...

Energy and Real Assets Advisory role , Americas – VP General Description The Vice President will be responsible for supporting energy and infrastructure advisory assignments primarily in North America. The individual will be responsible for all aspects of financial advisory mandates including but...

As the company continues to grow, they are seeking to hire a Treasury Operations or Broker Dealer professional with a FINRA 99 license to manage and further develop the team. Lead, mentor, and support the Treasury Operations team to foster professional growth. Monitor and report on key performanc...

EY focuses on high-ethical standards and integrity among its employees and expects all candidates to demonstrate these qualities.  At EY, you’ll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of y...

If you want to unlock your potential as a financial professional, apply to join our team at Equitable Advisors! Equitable Advisors is one of the most respected and growing financial services companies. With our 5,000 financial professionals in the US and Puerto Rico, Equitable is positioned with ...

Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securit...

Financial Professional Are you a leader who has the following traits? • Competitive • Entrepreneurial • Coachable • Communicative • Self-disciplined • Authentic If the answer is yes, consider becoming an insurance agent to drive positive impact in the lives of families every day. At New York Life...

Head of Compliance: FINRA, Securities | $180,000 - $220,000 salary. Compliance specialist required to takeover and grow out the compliance department of a rapidly growing electronic trading firm in securities and fixed income. We are searching for compliance professionals with the following exper...

In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. A financial services firm in New York City is currently seeking an experienced profes...

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...