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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
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Act as a trading specialist resource for others at FINRA including, but not be limited to, mentoring examiners, assessing trading risks and advising on examinations. Utilize internal FINRA systems and data resources to validate data and assess the reasonability of a firm's trading controls.
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Qualifying experience must include at least 3 years in: ·Investment banking product knowledge and core banking skills across fixed income, equity, and M&A. Must have or able to obtain Series 7, 63, and 79 FINRA licenses.
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FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRfunded retirement contribution, tuition reimbursement and many other benefits.
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The Principal Investigator acts as a liaison and subject matter expert for various stakeholders throughout FINRA. The Principal Investigator executes those responsibilities with minimal supervision.
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The Application Manager supervises the membership application process relating to matters filed with FINRA, which includes new and continuing membership applications, materiality consultations, two principal waivers, and membership agreement updates.
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FINRA Series 63 or obtain within six months. FINRA Series 6 or 7. Higher certification (e.g. CFP, CRC, CEBS, ChFC, CIMA, CRPS) acceptable in lieu of RPA or CRPC. Certified Financial Planner (CFP.
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Applicable knowledge with the cybersecurity requirements and best practices recommended by various regulators such as the Federal Reserve Bank (FRB), New York Department of Financial Services (NYDFS) regulations and frameworks, and familiarity with the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Office of the Comptroller of the Currency (OCC), California Consumer Privacy Act (CCPA) and others.
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Strong experience with the contents and implementation of specific regulatory initiatives such as: Dodd-Frank, general consumer compliance, regulatory structure and organizations including the FRB, the CFPB, the OCC, the CFTC, FINRA, and the SEC.
$167,325 - $306,763 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance licenses. CFP preferred or CTFA, CFA, CPA, JD or MBA.
$225,000 - $275,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Develop and perform daily trading and best execution reviews based on both SEC / FINRA rules and the firm's Best Execution practices, including, but not limited to, CAT, Rules 605/606, Reg NMS, Reg SHO, TRF Reporting, ACT, Rule 15c3-5 (Market Access), low priced securities and market manipulation.
$159,680 - $239,520 a yearFull-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Registration for FINRA Series 63 must be completed within 180 days of hire date if it is not available for transfer upon hire. Registration for FINRA Series 7 must be completed within 180 days of hire date if it is not available for transfer upon hire.
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Experience with WorkX (ACT), FINRA ORF, RTTM, OCC Encore, OW, NSCC/DTCC. Experience with WorkX (ACT), FINRA ORF, RTTM, OCC Encore, OW, NSCC/DTCC. 5+ years of experience in back-office operations required.
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Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC.
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finra job in New York, NY
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