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547 finra jobs in New York, NY

Compliance Marketing Review Officer

Morgan Stanley 100+ Reviews New York, NY

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity… Morgan Stanley

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Paralegal

First Investors 100+ Reviews New York, NY

• Review Representative application materials (including all items reported on Form U4s), fingerprint reports and other background investigative… First Investors

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Examiner, Cause Exams - Market Regulation – new

FINRA 100+ Reviews New York, NY

The Examiner conducts cause examinations of a somewhat complex nature of unusual market activity for evidence of violations of applicable federal… DisabledPerson

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Regulatory Analyst, Options Regulation – new

FINRA 100+ Reviews New York, NY

  The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable securities… DisabledPerson

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Alternative Net Capital (ANC) Examiner - Member Regulation, ROOR

FINRA 100+ Reviews New York, NY

  The Examiner conducts assignments on routine and special Alternative Net Capital (ANC) examinations to assess member firms' risk management… DisabledPerson

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Regulatory Analyst, (Contractor) Options Regulation

FINRA 100+ Reviews New York, NY

  The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable securities… DisabledPerson

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Regulatory Analyst, NY Equities New York, NY

FINRA 100+ Reviews New York, NY

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

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Information Technology Risk and Controls Examiner, Member Regulation, ROOR

Financial Industry Regulatory Authority (FINRA) New York, NY

Plans and conducts on-site information technology controls and compliance examinations of member organizations. Advises surveillance and exam staff… Ivy Exec

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Analyst, Quantitative Analytics

Financial Industry Regulatory Authority (FINRA) New York, NY

Design and develop predictive models and risk analytics utilizing data collected by FINRA from its members. Participate in examinations of… Ivy Exec

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Undergraduate/Graduate Intern - Transparency Services

Financial Industry Regulatory Authority (FINRA) New York, NY

in the securities industry, with exposure to the fixed income market and its regulatory and transparency regimes. Essential Job Functions… Ivy Exec

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Graduate/Undergraduate Intern - Member Regulation, Sales Practice

Financial Industry Regulatory Authority (FINRA) New York, NY

Access FINRAs system applications and records, collecting and disseminating data/reports. Assist in preparing memoranda and reports regarding… Ivy Exec

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Director, Public Communications - Corporate Communications

Financial Industry Regulatory Authority (FINRA) New York, NY

Plan, research and write external communications that effectively support and advance regulatory mission, public positions, and investor education… Ivy Exec

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Consolidated Supervised Entity Examiner

Financial Industry Regulatory Authority (FINRA) New York, NY

The Examiner conducts assignments on routine and special Consolidated Supervised Entity (CSE) examinations to assess member firms risk management… Ivy Exec

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Director - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Equities

Financial Industry Regulatory Authority (FINRA) New York, NY

To develop, direct and administer examination program for trading and market making activity from a national perspective in a manner designed to… Ivy Exec

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Information Technology Risk and Controls Examiner

Financial Industry Regulatory Authority (FINRA) New York, NY

Plans and conducts on-site information technology controls and compliance examinations of member organizations. Advises surveillance and exam staff… Ivy Exec

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Curriculum Program Manager, Risk

Financial Industry Regulatory Authority (FINRA) New York, NY

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

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Graduate/Undergraduate Intern - Equities, Market Regulation

Financial Industry Regulatory Authority (FINRA) New York, NY

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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Manager – Dispute Advisory & Forensic Services

Stout Risius Ross, Inc. 29 Reviews New York, NY

General Purpose: Oversee litigation projects related to delivery of expert witness testimony for financial disputes in areas including commercial… Stout Risius Ross, Inc.

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Managing Director (Forensic) - Dispute Advisory & Forensic Services

Stout Risius Ross, Inc. 29 Reviews New York, NY

General Purpose: Seeking a nationally recognized leader for the fraud and forensic services practice (managing director candidate) with significant… Stout Risius Ross, Inc.

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