Finra jobs - New York, NY
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| Dec 17 | Internal Audit Manager - Financial Services Company | New York, NY | |
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the regulatory environment with respect to FINRA, SEC, NFA rules or other regulators such as the OCC, OTS, and Federal Reserve* Proficient understanding of the internal audit... more |
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| Dec 17 | Financial Advisor Associate | JPMorgan Chase | Emerson, NJ |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 17 | AVP- Balance Sheet Analysis and Reporting | Ashton Lane Group | New York, NY |
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Regulatory team on required disclosures for FINRA and FOCUS reporting. ? Ad Hoc analysis as required by management. Requirements: ? 5 to 7 years of financial services industry... more |
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| Dec 17 | Financial Advisor Associate: United Nations Bldg. | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 17 | Financial Advisor Associate: Chrysler Bldg | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 17 | Financial Advisor Associate | JPMorgan Chase | Midland Park, NJ |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 17 | Financial Advisor Associate: Bayside Bell | JPMorgan Chase | Bayside, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 17 | Sales For Compliance Product | Textguard | New York, NY |
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and provides Compliance solutions for FINRA, SEC and FRCP for both large and small ... Google searches, outbound telesales from the FINRA directory,... more |
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| Dec 17 | Financial Advisor Associate- Radio City Branch | JPMorgan Chase | New York, NY |
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a plus * Licenses/Certifications required * FINRA Series 7, 63 * FINRA Series 24 JPMorgan Chase offers an exceptional benefits program and a highly competitive compensation... more |
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| Dec 17 | Private Client Direct - Investment Advisor | JPMorgan Chase | New York, NY |
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guidance to junior staff Qualifications * FINRA Series 7 required; must be able to obtain 66 shortly after hire * Bachelor's degree or equivalent experience * Advanced degree such... more |
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| Dec 17 | Major Accounts Retirement Services District Manager | ADP | New York, NY |
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and close business. Required licensing: FINRA Series 6 and 63. Strong organization, planning, and interpersonal skills. Ability to work in a team environment. Possess strong... more |
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| Dec 17 | Senior Database Administrator (MB) | TD Ameritrade IP Company | Jersey City, NJ |
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TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The... more |
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| Dec 17 | Senior Associate, Securities Operations | KPMG | New York, NY |
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orientation to implications associated with FINRA/NASDAQ ACT, OATS, TRACE . Work with subject matter experts in key areas of securities operations across buy-, and sell-side... more |
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| Dec 16 | Case Assistant I | Finra | New York, NY |
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Responds to inquiries on FINRA arbitration policies, code procedures/interpretations, ... Financial Industry Regulatory Authority (FINRA) is the largest non-governmental... more |
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| Dec 16 | Case Assistant I | Finra | New York, NY |
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registered securities representatives. FINRA has approximately 3,000 employees and ... person is hired by FINRA.df-lj Keywords: FINRA, New York, Case Assistant I - New... more |
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| Dec 16 | Operations Compliance Associate | Morgan Stanley - Legal/compliance | New York, NY |
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Candidate will be expected to advise on FINRA, NYSE, NASD and SEC rules, ... regulatory compliance including FINRA, NYSE, NASD and SEC regulations... more |
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| Dec 16 | Financial Advisor Associate-International-New York City (Fluent Spanish & English) | J.P. Morgan Chase - Consumer Investments, Retail Financial Services | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | VP/Senior Manager-Internal Audit-Brokerage OPs | Kforce Finance & Accounting Staffing | New York, NY |
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regulatory environment with respect to the FINRA and SEC * Proficient understanding of the internal audit process including risk assessments, planning, scheduling, and reporting *... more |
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| Dec 16 | Internal Audit Manager - Global Wealth Management | Kforce Finance & Accounting Staffing | New York, NY |
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the regulatory environment with respect to FINRA, SEC, NFA rules or other regulators such as the OCC, OTS, and Federal Reserve * Proficient understanding of the internal audit... more |
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| Dec 16 | VP/Senior Manager-Internal Audit-Capital Markets | Kforce Finance & Accounting Staffing | Purchase, NY |
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the regulatory environment with respect to FINRA and the SEC * Proficient understanding of the internal audit process including risk assessments, planning, scheduling, and... more |
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| Dec 16 | Investment Manager-Queens | J.P. Morgan Chase - Consumer Investments, Retail Financial Services | Long Island City, NY |
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a plus * Licenses/Certifications required * FINRA Series 7, 63 * FINRA Series 24 JPMorgan Chase offers an exceptional benefits program and a highly competitive compensation... more |
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| Dec 16 | Marketing Communication and Education Consultant | Automatic Data Processing | Florham Park, NJ |
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Travel is required (20-30%) 4. FINRA 6 and 63 5. Skills: Creative Thinking collaborates with our agencies to deliver high-quality creative materials. Presentation Skills Ability... more |
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| Dec 16 | Director, Insurance Accounting | AXA Equitable | Secaucus, NJ |
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assist with regulatory reviews (e.g., SEC, FINRA, State Insurance Departments). Maintain the Sarbanes Oxley 404 Program for Annuity Accounting including documentation, risk... more |
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| Dec 16 | Financial Advisors | Cybercoders | New York, NY |
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from all over the world. We are members of FINRA, SIPC, NFA and NYSE Euronext. Thanks to our strong Internet heritage and clearing relationship with Bank of New York's Pershing,... more |
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| Dec 16 | Hybrid Wholesaler | New York Life Insurance Company | New York, NY |
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License(s) for geographic region assigned. -FINRA Registration. -Ability to work independently in a fast paced environment. -Build and expand relationships with predetermined... more |
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| Dec 16 | Financial Advisor Associate: East 57th and First Ave. New Yo | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate: GM Building | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate: First Ave & 72nd St. New Yo | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | International Financial Advisor Associate-NYC (Bilingual Po | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate: Glasshouse (Fifth & 43rd St | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate: Park Ave & 55th St. New Yor | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate: Fifth Ave & Bay Ridge-Brook | JPMorgan Chase | Brooklyn, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate: Silver Lake | JPMorgan Chase | White Plains, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate: Union & Utopia | JPMorgan Chase | Flushing, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate: DeKalb Branch | JPMorgan Chase | Brooklyn, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate | JPMorgan Chase | New Rochelle, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate | JPMorgan Chase | Palisades Park, NJ |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Financial Advisor Associate | JPMorgan Chase | Mount Vernon, NY |
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requirements and guidelines associated with FINRA, SEC, and Chase Investment Services ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 16 | Remedy Developer (mb) | TD Ameritrade IP Company | Jersey City, NJ |
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TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The... more |
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| Dec 15 | Enforcement Investigator | Finra | New York, NY |
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and data analysis. * Provide support in FINRA disciplinary proceedings, including ... apply please visit our website at www.finra.org/careers and apply to position... more |
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| Dec 15 | Financial Advisor Associate-International-New York City (Fluent Spanish %26 English) | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 15 | Financial Advisor Associate-International-New York City (Fluent Spanish & English) | JPMorgan Chase | New York, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 15 | Operations Compliance Associate | Morgan Stanley | New York, NY |
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Candidate will be expected to advise on FINRA, NYSE, NASD and SEC rules, ... regulatory compliance including FINRA, NYSE, NASD and SEC regulations... more |
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| Dec 15 | Director Broker - Dealer Accounting | Investment Bank | New York, NY |
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orate and board of directors. Any focus/FINRA or SEC a +. Develop and implement strategies that will ensure service levels. Furnish financial and operational performance and... more |
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| Dec 15 | FS Regulatory Asset Management Director | PricewaterhouseCoopers | New York, NY |
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at a securities industry regulator (SEC, FINRA) or in a compliance or supervisory position in the buy-side investment management industry or as a consultant providing services to... more |
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| Dec 15 | Regional Immersion Coordinator-Northeast Region | JPMorgan Chase | New York, NY |
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effectively with all levels of management FINRA Series 6 or 7, 63, and Life Insurance license Solid knowledge of standard desktop applications: Excel, Powerpoint, and Word College... more |
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| Dec 15 | FS Regulatory - Manager (Broker Dealer) | PricewaterhouseCoopers | New York, NY |
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at a securities industry regulator (SEC, FINRA) or in a compliance or supervisory position in the buy-side investment management industry or as a consultant providing services to... more |
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| Dec 15 | Investment Manager-Queens | JPMorgan Chase | Long Island City, NY |
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a plus * Licenses/Certifications required * FINRA Series 7, 63 * FINRA Series 24 JPMorgan Chase offers an exceptional benefits program and a highly competitive compensation... more |
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| Dec 15 | Regional Immersion Coordinator-Northeast Region | JPMorgan Chase | New York, NY |
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effectively with all levels of management * FINRA Series 6 or 7, 63, and Life Insurance license * Solid knowledge of standard desktop applications: Excel, Powerpoint, and Word *... more |
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| Dec 15 | Investment Manager-Queens | JPMorgan Chase | Long Island City, NY |
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a plus * Licenses/Certifications required * FINRA Series 7, 63 * FINRA Series 24 JPMorgan Chase offers an exceptional benefits program and a highly competitive compensation... more |
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| Dec 15 | Regulatory Compliance Officer - Net Capital and Securities Operations | Compliance Search Group | New York, NY |
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of Securities and Exchange Commission and FINRA rules, laws and regulations pertaining to Operations, Finance and Securities Lending. In addition, working knowledge of Regulation... more |
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| Dec 15 | Senior Compliance Officer | MRI Network | New York, NY |
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strong, current knowledge of SEC and FINRA rules/regulations and best ... in implementing/auditing compliance with FINRA/SEC laws and regulations applicable to... more |
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| Dec 15 | Senior IA Compliance Analyst | American International Group | New York, NY |
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working in the compliance department of a FINRA registered broker-dealer; Have a solid working knowledge of FINRA Rules and the Investment Advisers Act of 1940. Be able to... more |
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| Dec 15 | Internal Audit Manager | Stephen James Associates | New York, NY |
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(Investment Advisors Act, 33 Act, AML, FINRA regs, etc..) - Executive Management Leadership in the Broker/Dealer, Wealth Management, Advisory and Trust businesses. - Offer... more |
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| Dec 15 | Regional Immersion Coordinator-Northeast Region | JPMorgan Chase | New York, NY |
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effectively with all levels of management * FINRA Series 6 or 7, 63, and Life Insurance license * Solid knowledge of standard desktop applications: Excel, Powerpoint, and Word *... more |
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| Dec 15 | Agency Sales Director 50636 | New York, NY | |
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and coaching skills. * Knowledge of FINRA/SEC compliance regulations and policies and ability to apply MetLife specific policies and procedures appropriately. General knowledge of... more |
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| Dec 15 | Director of Operations 50176 | Roslyn, NY | |
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ce Operations Experience with 7+ years in management and in the Insurance Industry. Bachelors degree required, advanced degree preferred. FINRA Series 7 and 24 required or Series... more |
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| Dec 15 | Regional Immersion Coordinator-Northeast Region | J.P. Morgan Chase - Relationship Management/sales, Retail Financial Services | New York, NY |
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effectively with all levels of management * FINRA Series 6 or 7, 63, and Life Insurance license * Solid knowledge of standard desktop applications: Excel, Powerpoint, and Word *... more |
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| Dec 15 | Web Production Specialist - Full Time | StarPoint Solutions | New York, NY |
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branding style guidelines and follow SEC/FINRA compliant web requirements. Designs color schemes, page layouts, user interfaces and graphics for websites, custom web applications,... more |
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| Dec 14 | Senior Compliance Officer - b12213 | Global Financial Dervices Firm | New York, NY |
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strong, current knowledge of SEC and FINRA rules/regulations and best practices; ... in implementing/auditing compliance with FINRA/SEC laws and regulations applicable to... more |
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| Dec 14 | Director of Equity Capital Markets Compliance | American Financial Institution | New York, NY |
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to regulators the firms compliance with FINRA and SEC regulations. Create and foster ... Experience with and expert knowledge of FINRA, NYSE and SEC rules associated with... more |
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| Dec 14 | Financial Advisor Associate: Union & Utopia | JPMorgan Chase | Flushing, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 14 | Financial Advisor Associate: Silver Lake | JPMorgan Chase | White Plains, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 14 | Financial Advisor Associate | JPMorgan Chase | New Rochelle, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 14 | Financial Advisor Associate: Vernon Hills Scarsdale | JPMorgan Chase | White Plains, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 14 | Financial Advisor Associate: Thornwood Marble | JPMorgan Chase | Thornwood, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 14 | Senior Compliance Officer - b12213 | Global Financial Dervices Firm | New York, NY |
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strong, current knowledge of SEC and FINRA rules/regulations and best practices; ... in implementing/auditing compliance with FINRA/SEC laws and regulations applicable to... more |
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| Dec 14 | Financial Advisor Associate: Mount Vernon | JPMorgan Chase | Bronxville, NY |
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requirements and guidelines associated with FINRA, SEC, and Chase Investment Services ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 14 | Sales For Compliance Product | Textguard | New York, NY |
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and provides Compliance solutions for FINRA, SEC and FRCP for both large and small ... from Google searches, outbound telesales from the FINRA directory,... more |
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| Dec 14 | AML Prevention Analyst | New York, NY | |
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including BSA, USA PATRIOT Act, OFAC, SEC, FINRA and other applicable U.S. regulations. ... with AML, BSA and USA PATRIOT Act, SEC FINRA policies and procedures. * Maintains... more |
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| Dec 14 | Financial Advisor | New York, NY | |
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is preferred and relevant professional FINRA securities designations are a plus. If ... of us: state life and health licenses, FINRA Series 7 and 66 or equivalent. MBA,... more |
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| Dec 14 | Investment Manager-Queens | JPMorgan Chase | Long Island City, NY |
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required FINRA Series 7, 63 FINRA Series 24 JPMorgan Chase offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase is an Equal... more |
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| Dec 14 | Investment Manager-Long Island (West) | JPMorgan Chase | Garden City, NY |
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a plus * Licenses/Certifications required * FINRA Series 7, 63 * FINRA Series 24 JPMorgan Chase offers an exceptional benefits program and a highly competitive compensation... more |
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| Dec 14 | Senior Manager | Search Audit Jobs | New York, NY |
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the regulatory environment with respect to FINRA, SEC, NFA rules or other regulators such as the OCC, OTS, Federal Reserve. -Proficient understanding of the internal audit process... more |
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| Dec 14 | Managing Principal - 10499 | Financial Services Firm | New York, NY |
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Bachelors Certifications: None Licenses: FINRA Registered Rep - Series 7 - Stock Broker; FINRA Registered Principal - Series 24; NASAA State Registration / Investment Advisor -... more |
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| Dec 14 | Annuities Division Sales Manager | Prudential | Newark, NJ |
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and presence. * In-depth business acumen. * FINRA Series 6 or 7, and 63 and 26 licenses required Prudential is a multinational financial services leader with operations in the... more |
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| Dec 14 | Enterprise Project Manager | TD Ameritrade IP Company | Jersey City, NJ |
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TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The... more |
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| Dec 14 | Marketing Communication and Education Consultant | ADP | Florham Park, NJ |
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3. Travel is required (20-30%) 4. FINRA 6 and 63 5. Skills: . Creative Thinking - collaborates with our agencies to deliver high-quality creative materials. . Presentation Skills... more |
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| Dec 13 | Financial Advisor | AXA Advisors | New York, NY |
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is preferred and relevant professional FINRA securities designations are a plus. If ... Advisors: state life and health licenses, FINRA Series 7 and 66 or equivalent. MBA,... more |
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| Dec 12 | AML Prevention Associate | Michael Page International | New York, NY |
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is consistent with BSA, USA PATRIOT Act and FINRA requirements Assist in management, maintenance, and review of appropriate CIP documentation/client files. Follow up and track all... more |
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| Dec 12 | Manager of Finance Operations | MetLife | Flushing, NY |
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MetLife products and procedures preferred FINRA Series 7 and 24, Series 53 preferred Additional competencies: change agent, verbal and written communication skills, computer... more |
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| Dec 12 | District Manager (Inside Sales) | Automatic Data Processing | Florham Park, NJ |
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1-3 years in position. Required licensing: FINRA Series 6 and 63. Strong organization, ... that diversity leads to strength. FINRA Series 6 and 63. Strong organization,... more |
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| Dec 12 | Vice President | AXA Equitable | New York, NY |
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follow the guidelines set forth by the SEC, FINRA, and Generally Accepted Accounting ... operational activities, as well as SEC and FINRA rules and regulations In addition to... more |
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| Dec 12 | Agency Sales Director | MetLife | New York, NY |
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and coaching skills. Knowledge of FINRA/SEC compliance regulations and ... Job Requirements: Appropriate FINRA Licensing and Registration: L/H,... more |
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| Dec 12 | Agency Sales Director | MetLife | Roslyn, NY |
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and coaching skills. Knowledge of FINRA/SEC compliance regulations and ... Job Requirements: Appropriate FINRA Licensing and Registration: L/H,... more |
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| Dec 12 | Regulatory Compliance Officer - Net Capital and Securities Operations | Compliance Search Group | New York, NY |
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of Securities and Exchange Commission and FINRA rules, laws and regulations pertaining to Operations, Finance and Securities Lending. In addition, working knowledge of Regulation... more |
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| Dec 12 | Agency Training Director | MetLife | Roslyn, NY |
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(minimum 2 years) Life and Health License, FINRA Series 6 & 63 Registrations, Series 7 Preferred Four-year college degree or equivalent job experience Have completed a... more |
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| Dec 12 | Investment Consultant - Great Neck, NY (ES) | TD Ameritrade IP Company | Great Neck, NY |
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TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The... more |
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| Dec 12 | Agency Training Director | MetLife | Roslyn, NY |
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(minimum 2 years) Life and Health License, FINRA Series 6 & 63 Registrations, Series 7 Preferred Four-year college degree or equivalent job experience Have completed a... more |
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| Dec 12 | Financial Advisors | Cybercoders | Manhattan, NY |
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from all over the world. We are members of FINRA, SIPC, NFA and NYSE Euronext. Thanks to our strong Internet heritage and clearing relationship with Bank of New York's Pershing,... more |
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| Dec 11 | Enforcement Investigator | Finra | New York, NY |
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and data analysis. Provide support in FINRA disciplinary proceedings, including the preparation of staff hearings exhibits, and reviewing and analyzing respondent hearing... more |
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| Dec 11 | Enforcement Investigator | Finra | New York, NY |
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and data analysis. Provide support in FINRA disciplinary proceedings, including ... To apply please visit our website at www.finra.org/careers and apply to position... more |
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| Dec 11 | Broker Dealer Attorney | Robert Half Legal | New York, NY |
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with FINRA experience or with broker dealer securities experience or investment ... Bar Admission, FINRA or Securities Industry regulatory/compliance experience Please send... more |
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| Dec 11 | Financial Advisor Associate: Silver Lake | JPMorgan Chase | White Plains, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 11 | Financial Advisor Associate: Thornwood Marble | JPMorgan Chase | Thornwood, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 11 | Financial Advisor Associate: Thornwood Marble | J.P. Morgan Chase - Consumer Investments, Retail Financial Services | Thornwood, NY |
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requirements and guidelines associated with FINRA, SEC, CISG and JPMorgan Chase. You ... in addition to meeting and exceeding FINRA continuing education requirements and... more |
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| Dec 11 | Agency Sales Director | MetLife | Brooklyn, NY |
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conducts and documents quarterly FINRA meetings; maintains regular ... Experience: Bachelor's degree. FINRA Series 6 and 63 licenses; appropriate... more |
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| Dec 11 | Manager of Finance Operations | MetLife | Flushing, NY |
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MetLife products and procedures preferred FINRA Series 7 and 24, Series 53 preferred Additional competencies: change agent, verbal and written communication skills, computer... more |
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| Dec 11 | Hybrid Wholesaler | New York Life Insurance Company | New York, NY |
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License(s) for geographic region assigned. -FINRA Registration. -Ability to work independently in a fast paced environment. -Build and expand relationships with predetermined... more |
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| Dec 11 | Investor - Private Wealth Management | JPMorgan Chase | New York, NY |
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for referrals Conducts operations within FINRA and other regulatory agency guidelines and requirements Demonstrated understanding of wealth management including, but not limited... more |
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