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1,942 finra jobs

Certified Financial Planner

HA&W Atlanta, GA

include but are not limited to: • Providing sales support for Advisors • Meeting with clients and prospects to collect financial information… HA&W

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Corporate Counsel

LOYAL3 18 Reviews San Francisco, CA

Counsel will advise on a broad range of general corporate and securities law matters, including compliance with SEC and FINRA regulations, research… LOYAL3

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Senior Security Engineer – new

FINRA 100+ Reviews Rockville, MD

The Senior Security Engineer works under minimal supervision and will perform information security tasks commensurate with their experience that… JofDav.com

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Associate Developer I – new

FINRA 100+ Reviews Rockville, MD

  As an entry-level technology professional, the Associate Developer I will assist with the completion of technology organization programs, projects… JofDav.com

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Analyst, Advertising Regulation

FINRA 100+ Reviews Rockville, MD

Reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations… JofDav.com

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Lead Tester - Rockville, MD - Contractor Conversion

FINRA 100+ Reviews Rockville, MD

The Lead Tester, working independently, will direct staff in the execution of manual activities and/or automated activities to ensure applications… DisabledPerson

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Graduate/Undergraduate Intern - Advertising Regulation

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Assist in reviewing and analyzing communications with the public for compliance with applicable advertising rules. Achieve an understanding and… Ivy Exec

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Regulatory Analyst, Office of Fraud Detection and Market Intelligence - Insider Trading

Financial Industry Regulatory Authority (FINRA) Rockville, MD

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… Ivy Exec

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Undergraduate/Grad Intern - Market Regulation, Quality of Markets

Financial Industry Regulatory Authority (FINRA) Rockville, MD

In training to review, analyze and investigate unusual market activity for evidence of violations of relevant rules and regulations enforced. This is… Ivy Exec

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Graduate/Undergraduate Intern - Internal Audit

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Conduct business area (BA) audits to provide senior management with an independent assessment of whether: · The structure of internal controls… Ivy Exec

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Curriculum Program Manager, Risk

Financial Industry Regulatory Authority (FINRA) Rockville, MD

The Curriculum Program Manager manages transformations and operational enhancements to assigned program areas across Shared Services’ customer base… Ivy Exec

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Deputy Director, Office of Fraud Detection, and Market Intelligence

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Achieve measurable results. Provide substantive input into the development of department approaches to regulatory issues… Ivy Exec

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Graduate Legal Intern

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Assist attorneys in the department with legal and policy issues regarding the licensing, registration and regulation of broker-dealer firms and their… Ivy Exec

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Training Manager, eLearning

Financial Industry Regulatory Authority (FINRA) Rockville, MD

, as well as supervising Regulatory Training Specialists and support staff of varying levels. The incumbent is expected to have advanced technical… Ivy Exec

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Graduate Intern - Market Regulation, Legal

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Assist in participating in on-the-record interviews of witnesses and potential respondents… Ivy Exec

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Graduate Intern - Testing and Continuing Education

Financial Industry Regulatory Authority (FINRA) Rockville, MD

While in the department, the intern will also participate in some of FINRAs standard psychometric processes and may be called upon to investigate ad… Ivy Exec

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Graduate/Undergraduate Intern, Human Resources

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Work with various members of the Human Resources team to lead or support research and analysis on a number of HR initiatives. Essential Job… Ivy Exec

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