FINRA Jobs & Careers in New York, NY

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Show:  All Results Last 7 Days
30+ days ago

Financial Operations Examiner - Member Regulation, ROOR

Financial Industry Regulatory Authority, Inc. New York, NY

Conduct on-site examinations and assess member organization's financial and operational condition and compliance with SEC and FINRA rules and… CareerBuilder


13 days ago

Director, Market, Credit & Operational Risk, Regulatory Development & Services,

Financial Industry Regulatory Authority, Inc. New York, NY

The Director of Market, Credit and Operational Risk (Director) is responsible for providing technical advice and assistance to ROOR staff and senior… CareerBuilder


30+ days ago

Manager III,Broker Dealer Operations & Financial Responsibility, Member Regulati

Financial Industry Regulatory Authority, Inc. New York, NY

Serve as subject matter expert, and provide technical guidance and education on accounting related topics, respond to interpretative questions… CareerBuilder


9 days ago

Examination Manager - Sales Practice, Member Regulation

Financial Industry Regulatory Authority Inc New York, NY

The Examination Manager develops and supervises District Office regulatory programs and work products related to the routine and special examinations… CareerBuilder


30+ days ago

Regulatory Analyst, On Floor Surveillance, Member Trading

Financial Industry Regulatory Authority, Inc. New York, NY

The Regulatory Analyst conducts for cause review and investigations of unusual market activity, primarily complaint driven, for evidence of… CareerBuilder


30+ days ago

Associate Principal Specialist, Credit Regulation

Financial Industry Regulatory Authority, Inc. New York, NY

Research and provide technical guidance and education on interpretive questions, and regulatory issues, concerning broker-dealer credit/margin… CareerBuilder


30+ days ago

Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinat

Financial Industry Regulatory Authority, Inc. New York, NY

The Compliance Examiner conducts equities based operational audits for compliance with relevant FINRA, SEC, and exchange client rules. Focus of the… CareerBuilder


5 days ago

Financial Operations Examiner ? Market Regulation, Trading & Financial Complianc

FINRA New York, NY

Interact with member firm personnel in areas such as regulatory reporting, risk management, operations, trading and compliance; review business… eFinancialCareers


5 days ago

Associate Principal Specialist, Credit Regulation, New York, NY

FINRA New York, NY

.Review and maintenance of the applications for Portfolio Margining presented to FINRA by member firms, and distribute to exam staff in preparation… eFinancialCareers


30+ days ago

Regulatory Coordinator - Member Regulation, ROOR- New York, NY

FINRA New York, NY

Act as a liaison with assigned member firms, provide interpretations of FINRA rules, SEC rules and other applicable regulations, and assist member… eFinancialCareers


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West Monroe FINRA (Photo thanks to Flickr user lobtar28, available under by-nc-nd v2.0)
Washington DC headquarters of FINRA (formerly NASD), financial industry's self-regulatory body. 1735 K Street. (Photo thanks to Flickr user Dan DC All rights reserved.)
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FINRA Reviews

163 Reviews
2.9
163 Reviews
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FINRA Chairman & CEO Richard G. Ketchum
Richard G. Ketchum
76 Ratings
  1. 1 person found this helpful  

    Easy work, Good environment

    • Comp & Benefits
    • Work/Life Balance
    • Senior Management
    • Culture & Values
    • Career Opportunities
    Former Employee - Anonymous Employee  in  New York, NY
    Former Employee - Anonymous Employee in New York, NY

    I worked at FINRA as an intern for less than a year

    Pros

    The people are usually there for a long time, I happened to work with lots of younger people, so the atmosphere was always fun. Everyone was willing to teach new hires.

    Cons

    People seemed stagnant. Most did not plan on working at FINRA or just ended up there. Most not enthusiastic about the work.

    Recommends
    Positive Outlook
    No opinion of CEO