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1,636 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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Regulatory Coordinator - Member Regulation, Sales Practice – new

FINRA 100+ Reviews New York, NY

Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous… FINRA

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Gateway Agent, Registration and Disclosure – new

FINRA 100+ Reviews Rockville, MD

Utilizing analytical skills and various on-line resources, respond to calls from the general public as well as lawyers, SROs, brokerage firms, the… FINRA

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Analyst, Securities Retiree Helpline – new

FINRA 100+ Reviews Boca Raton, FL

The Analyst applies substantial analytical skills to conduct and coordinate the initial processing of complaints specializing in retiree investor… FINRA

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Principal Research Analyst, Advanced Analytics – new

FINRA 100+ Reviews New York, NY

Leverage data analytics to effectively examine and conduct surveillance of market participants in mainly Broker-Dealer space. ADAU staff will support… FINRA

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Senior Systems Administrator/Engineer - Rockville, MD

FINRA 100+ Reviews Contractor Conversion

The Senior Systems Administrator/Engineer works under minimal supervision and will perform manual activities as well as automated activities… FINRA

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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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Graduate/Undergraduate Intern - Dispute Resolution

Financial Industry Regulatory Authority (FINRA) Chicago, IL

, including preparing final accountings of arbitration fees on settled cases, generating NLSS lists, checking for arbitrator conflicts, processing… Ivy Exec

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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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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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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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Graduate/Undergraduate Intern - Member Regulation, Sales Practice

Financial Industry Regulatory Authority (FINRA) Boston, MA

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