Save your search progress and never miss an update
The Strategic Advisor in Market Regulation & Transparency Services (“MRTS”) is a crucial role within the organization, providing leadership and strategic support to the head of Strategic Regulatory Engagement (“SRE”). The role requires a minimum of ten years of experience in securities, compliance, or financial regulation, along with a bachelor’s degree. An MBA, JD, or other relevant graduate degree is preferred. Reporting directly to the head of SRE, the Strateg...
About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulatio...
JOB TITLE: Paralegal, Enforcement DEPARTMENT: Enforcement ORGANIZATION: FINRA SALARY: Based on experience EXPERIENCE: Bachelor’s degree and/or paralegal certificate or significant relevant experience H1: Join FINRA as a Paralegal in the Enforcement Department! H2: Investigative and Legal Support Opportunity at FINRA - Apply Now! Summary: Join FINRA, the Financial Industry Regulatory Authority, as a Paralegal in the Enforcement Department! This full-t...
About FINRA FINRA is a non-governmental organization that regulates the securities industry. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers. All individuals who are licensed to conduct securities transactions for FINRA member firms must pass the Series 7 exam, as well as the Securities Industry Essentials (SIE) exam, and be registered with the . Securities and Exchange Commission (SEC) and i
About FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, gender, national origin, age, disability, or any other factor. FINRA is committed to providing accommodations for individuals with disabilities. If you need assistance with the online application process, please contact FINRA’s accommodation hel...
H1: Vice President, Corporate Financing - Lead Regulatory Policy and Compliance for FINRA's Corporate Financing Rules H2: Join the Leadership Team at FINRA as the Vice President of Corporate Financing Department Bold Headline: Lead the Corporate Financing Department at FINRA and Protect Investors in the Securities Industry The Vice President, Corporate Financing Department is a crucial role within the Offices of the Chief Legal Officer at **MEMBERS ONLY**SIGN UP NOW***. This position is responsi
SEO friendly job title: Assistant General Counsel, Regulatory H1 heading: Join FINRA as an Assistant General Counsel in Regulatory H2 heading: Senior-Level Legal Advisor in Regulatory Initiatives Bold headline: FINRA is seeking an experienced Assistant General Counsel to provide senior-level legal advice and support in regulatory initiatives. FINRA (Financial Industry Regulatory Authority) is a non-governmental organization that regulates the securities industry i
About FINRA FINRA is a non-governmental organization that regulates the securities industry. FINRA protects investors by making sure the securities industry operates fairly and honestly. FINRA oversees about 3,600 brokerage firms, about 160,000 branch offices and approximately 630,000 registered securities representatives. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every a...
Associate General Counsel, Regulatory - Job Summary: - The Associate General Counsel, Regulatory is responsible for managing the adoption of new regulatory requirements and providing expert legal advice to the Board of Governors and senior management. - This position requires a law degree, admission to a bar, and at least 10 years of relevant legal experience. - The incumbent must have demonstrated ability to perform with minimal supervision and possess strong independent ju