7 Jobs im Bereich Finra Rules weltweit

Privatkundenbetreuer (m/w/d) – Banking | Frankfurt am Main

White Horse International GmbH • Frankfurt am Main, DE • Hybrid

45,000 - 65,000 EUR

•Vollzeit•Unbefristet

Financial AnalysisRegulatory ComplianceCustomer AcquisitionPrivate Banking Advisory

VP, Investment Management Private Markets Attorney

MS Services Group, Inc. • New York, US • Vor Ort

120,000 - 210,000 USD (geschätzt)

•Vollzeit•Unbefristet

AIFMDERISAFINRA RulesRegulation D

Head of Legal Administration

UMB FUND SERVICES INC • Milwaukee, US • Vor Ort

176,796 - 260,029 USD (geschätzt)

•Vollzeit•Unbefristet

Microsoft WordMicrosoft ExcelMicrosoft OfficeETFs

Director, Trade Surveillance & Financial Crimes Compliance

moomoo • Jersey City, US • Vor Ort

185,000 - 230,000 USD (geschätzt)

•Vollzeit•Unbefristet

OFACFINRA RulesRisikobewertungUSA PATRIOT Act

Senior Compliance Consultant - Capital Markets, Commercial and Investment Banking, Institutional B/D and Asset Management (Hybrid - Metro NYC OR Buffalo, NY)

Manufacturers and Traders Trust Co • New York, US • Hybrid

109,300 - 182,100 USD (geschätzt)

•Vollzeit•Unbefristet

Rule 144AFINRA RulesRegulation MSurveillance

Director, Compliance Regulatory

moomoo • Dallas, US • Vor Ort

190,000 - 230,000 USD (geschätzt)

•Vollzeit•Unbefristet

SEC RulesFINRA RulesInvestigationsControl Reviews

Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer)

MUFG Securities Americas Inc. • New York, US • Hybrid

185,000 - 242,000 USD (geschätzt)

•Vollzeit•Unbefristet

ComplianceGovernanceFINRA RulesNFA Regulations

Intermediate Advisor Training and Quality Assurance Consultant

Transamerica • Cedar Rapids, US • Hybrid

65,000 - 75,000 USD (geschätzt)

•Vollzeit•Unbefristet

ComplianceCall MonitoringTraining DesignQuality Assurance

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