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1,791 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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Senior Security Engineer – new

FINRA 100+ Reviews Rockville, MD

The Senior Security Engineer works under minimal supervision and will perform information security tasks commensurate with their experience that… JofDav.com

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Associate Developer I – new

FINRA 100+ Reviews Rockville, MD

  As an entry-level technology professional, the Associate Developer I will assist with the completion of technology organization programs, projects… JofDav.com

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Analyst Options Regulation - Market Regulation – new

FINRA 100+ Reviews Chicago, IL

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

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Paralegal, Office of Liaison & Counsel – new

FINRA 100+ Reviews Washington, DC

Provide paralegal, administrative and general support including, but not limited to, drafting legal correspondence, assisting in document… DisabledPerson

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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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Analyst, Options Regulation – new

FINRA 100+ Reviews Chicago, IL

· Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. Conducts routine reviews and… DisabledPerson

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Analyst, Advertising Regulation

FINRA 100+ Reviews Rockville, MD

Reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations… JofDav.com

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Compliance Examiner - Member Regulation, Sales Practice

FINRA 100+ Reviews Chicago, IL

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

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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… FINRA

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Principal - Technology – new

FINRA 100+ Reviews New York, NY

The Principal is generally autonomous in their complex solutions delivery for a Technology project(s) and/or practice area and most often reports… FINRA

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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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Senior Director, Emerging Regulatory Issues

FINRA 100+ Reviews Washington, DC

The Office of Emerging Regulatory Issues is an important part of FINRA's Office of Risk and Strategy. The mission of the Office of Emerging… DisabledPerson

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Lead Tester - Rockville, MD - Contractor Conversion

FINRA 100+ Reviews Rockville, MD

The Lead Tester, working independently, will direct staff in the execution of manual activities and/or automated activities to ensure applications… 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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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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