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Principal Investigator, Specialist Team The candidate conducts high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles the industry and identifies fraudulent conduct occurring at, by, or through member firms or registered representatives. Demonstrates a highly p
Director, Member Supervision Operations, Procedures, and Standards The candidate will provide strategic leadership and guidance and establish procedures and standards across the program as well as advise and collaborate with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. Develop controls and metrics to monitor program execution and effectiveness. Provide a robust operational risk framework within Firs
Principal Investigator, NCP The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify the regulatory issues raised to determine, among other things, whether the organization has jurisdiction. Collect and analyze additional relevant information obtained from internal a
Principal Analyst, Risk Monitoring, Trading and Execution The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Report to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conduct risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supe
H1: Principal Counsel, Enforcement - Join FINRA and Make a Difference in Financial Regulation H2: Overview: - Role: Principal Counsel, Enforcement - Organization: FINRA - Location: Multiple locations (see job posting) - Time type: Full time - Job requisition ID: R-007990 - Education/Experience: Minimum of 7 years relevant legal experience in financial regulatory space preferred - Work Conditions: Occasional work outside of business hours and overnight travel may be required
Senior Litigation Counsel, Enforcement - Any FINRA Location Job Title: Senior Litigation Counsel, Enforcement Salary Range: Minimum salary $127,300 - Maximum salary $296,100 (based on location and qualifications) Experience: Minimum of 10 years of litigation experience Job Description: The Senior Litigation Counsel, Enforcement will work under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing O
FINRA abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and require affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans and individuals with disabilities. Principal Investigator, Specialist Team - All FINRA Locations: