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Stock Broker Training Program Jobs in New York, NY

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1 - 21 of 21 jobs found
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Manager III,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR - View similar jobs
Job type: Full-Time
Generally Accepted Accounting Principles (GAAP) and related accounting standards to broker ... required. Minimum of five years of broker-dealer...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Online Trader (Work from Home) - View similar jobs
Job type: Full-Time | Pay: $50k - $500k/year
and procedures. Other responsibilities of the role include: Completing training program Integrating ... Analyst, Financial Advisor, Mathematics...
Maverick Trading
NY - New York
(Nearby)
Jul-01
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Compliance Examiner - Member Regulation, Membership Application Program - New York, NY - View similar jobs
Job type: Full-Time
through completion of FINRA's structured training programs, which may include attendance at instructor ... of employment to attend FINRA's training...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Compliance Examiner - Member Regulation, Sales Practice - New York, NY - View similar jobs
Job type: Full-Time
relevant rules, regulations, and guidelines through completion of FINRA's structured training program ... of employment to attend FINRA's training...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Compliance Examiner - Member Regulation, Sales Practice - New York, NY - View similar jobs
Job type: Full-Time
relevant rules, regulations, and guidelines through completion of FINRA's structured training program ... of employment to attend FINRA's training...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Associate Principal Specialist, Credit Regulation, New York, NY - View similar jobs
Job type: Full-Time
, concerning broker-dealer credit/margin matters. Respond to inquiries received from internal surveillance and ... minimum of five years prior...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Consolidated Supervised Entity Examiner - Member Regulation, ROOR - New York, NY - View similar jobs
Job type: Full-Time
Associate Examiner is required to complete the Elements of Regulation & Compliance training and the ... , train and evaluate staff. Ability to...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Financial Operations Examiner – Market Regulation, Trading & Financial Compliance Examinations - New York, NY - View similar jobs
Job type: Full-Time
guidance, training and technical support to lesser experienced examiners; evaluate examination teams and ... , FINRA and SRO rules and regulations...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Manager III, Continuing Education - New York, NY - View similar jobs
Job type: Full-Time
industry and other SROs to ensure development of the CE program. Train departmental Continuing Education ... experience and/or education in the...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Examiner – IT Financial Operations, Member Regulation, ROOR - New York, NY - View similar jobs
Job type: Full-Time
regulatory concerns noted during exams to take corrective action. Supervises and provides guidance, training ... supervisory systems and internal...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Financial Operations Examiner - Member Regulation, ROOR - New York, NY - View similar jobs
Job type: Full-Time
; share understanding with staff. Develop and present educational training programs on regulatory matters ... rule compliance. Ability to supervise...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Financial Operations Examiner - Member Regulation, ROOR - New York, NY - View similar jobs
Job type: Full-Time
; share understanding with staff. Develop and present educational training programs on regulatory matters ... rule compliance. Ability to supervise...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Financial Operations Examiner - Member Regulation, ROOR - New York, NY - View similar jobs
Job type: Full-Time
; share understanding with staff. Develop and present educational training programs on regulatory matters ... rule compliance. Ability to supervise...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Financial Operations Examiner - Member Regulation, ROOR - New York, NY - View similar jobs
Job type: Full-Time
; share understanding with staff. Develop and present educational training programs on regulatory matters ... rule compliance. Ability to supervise...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Financial Operations Examiner - Member Regulation, ROOR - New York, NY - View similar jobs
Job type: Full-Time
; share understanding with staff. Develop and present educational training programs on regulatory matters ... rule compliance. Ability to supervise...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Director I, Operations/Services, Market Regulation, - New York, NY - View similar jobs
Job type: Full-Time
. Responsible for day-to-day management and training of staff, including the assignment of projects and reviews ... Regulation’s regulatory...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Business Analyst IV, Operations/Services, Market Regulation, - New York, NY - View similar jobs
Job type: Full-Time
the regulatory programs. a thorough understanding of the areas’ workflow, applications, reporting ... . Advanced knowledge/training in business...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Senior Surveillance Developer - Technology - New York, NY - View similar jobs
Job type: Full-Time
analyze complex process, system and / or data requirements and specifications across a major program or ... or related discipline with at least...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Regulatory Coordinator - Member Regulation, Sales Practice - New York, NY - View similar jobs
Job type: Full-Time
of applicants. Train or mentor newly hired coordinators; advise and assist other coordinators in ... -funded retirement contribution, our tuition...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Enforcement Counsel - New York, NY - View similar jobs
Job type: Full-Time
national staff training programs, such as Phase III training. Participate in special projects as assigned ... program and many other benefits. If...
Financial Industry Regulatory Authority, Inc.
NY - New York
(Nearby)
3 Weeks Ago
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Financial Sales Professionals- Entry Level or Experienced - View similar jobs
Job type: Full-Time
offers: • High earnings potential and comprehensive benefits • Training, support and hands-on management ... . At AXA Advisors, training is a...
AXA Advisors
NY - Brooklyn
(1 miles)
3 Weeks Ago