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1,346 finra jobs

Fixed Income Compliance AVP

LPL Financial Charlotte, NC

• Collaborate with other internal areas including: Legal, Middle-Office, Sales Management, Operations, Technology, Control Units, In-Business Risk… LPL Financial

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Broker/Dealer Compliance Officer (Series 7 & 24 Required) – easy apply

Gradient Financial Group Arden Hills, MN

• Promptly reviews and approves advertising material submitted to Compliance. • Works directly with marketing department to develop compliant… Gradient Financial Group

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Manager II - Market Regulation, Fixed Income – new

FINRA 100+ Reviews Rockville, MD

of the team and developing plan to address these issues. • Takes a leadership role in implementing regulatory plans under the direction of senior… Percipio Media

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Regulatory Coordinator - Market Regulation TFCE Fin Ops – new

FINRA 100+ Reviews Chicago, IL

Regulatory Coordinators monitor and evaluate the financial, operational and sales practice condition of member firms through continuous communication… Percipio Media

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Regulatory Analyst - OFDMI/ Office of Whistleblower – new

FINRA 100+ Reviews Rockville, MD

The Regulatory Analyst conducts reviews and investigations to compile evidence of potentially fraudulent or illegal conduct which may constitute… Percipio Media

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Associate Examiner, Member Regulation, ROOR – new

FINRA 100+ Reviews New York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Associate Examiner opening in New York, NY. To be… Percipio Media

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Compliance Examiner, Member Regulation – new

FINRA 100+ Reviews Boca Raton, FL

Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and… Percipio Media

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Compliance Examiner - Member Regulation, Sales Practice - Jericho – new

FINRA 100+ Reviews New York, NY

Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and… Percipio Media

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Financial Operations Examiner - Member Regulation, ROOR – new

FINRA 100+ Reviews Chicago, IL

Conduct on-site examinations and assess member organization's financial and operational condition and compliance with SEC and FINRA rules and… Percipio Media

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Compliance Examiner - Member Regulation, Membership Application Program – new

FINRA 100+ Reviews New York, NY

MAP Examiners review or investigate, in the context of new and continuing membership applications, risk areas of broker-dealers and allegations of… Percipio Media

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Lead Product Manager - Rockville, MD - Contractor Conversion – new

FINRA 100+ Reviews Rockville, MD

Responsible for the product planning and execution of one or more products throughout its lifecycle, including: defining the product vision… Percipio Media

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Deputy Director, Office of Fraud Detection, and Market Intelligence – new

FINRA 100+ Reviews Rockville, MD

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our… Percipio Media

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Associate Examiner - Member Regulation, Sales Practice – new

FINRA 100+ Reviews New York, NY

Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and… Percipio Media

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Processing Assistant I - Dispute Resolution – new

FINRA 100+ Reviews Chicago, IL

This position performs a wide variety of tasks such as typing, formatting, and editing correspondence, filing, setting up hearing rooms and… Percipio Media

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Compliance Examiner – new

FINRA 100+ Reviews Market Regulation, Trading & Financial Compliance Examinat

The Compliance Examiner conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and… FINRA

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Financial Services Sales Manager

Fidelity Investments 100+ Reviews Covington, KY

• Accountable for the individual and team success through coaching, managing and leading • Hire new staff, conduct performance appraisals, and… Fidelity Investments

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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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