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Enforcement Director position at FINRA is a full-time role, responsible for managing a team of 5-8 Enforcement attorneys and overseeing the development and resolution of Enforcement cases. The Director is responsible for ensuring that all cases are handled with complete...
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...
President, Corporate Financing - Lead the Corporate Financing Department within the Offices of the Chief Legal Officer (OCLO) at **MEMBERS ONLY**SIGN UP NOW***. Locations: Rockville, MD Jersey City, NJ Dallas, TX Chicago, IL Boston, MA Boca Raton,...
an exciting new opportunity for experienced attorneys in the regulatory field – the Assistant General Counsel, Regulatory position at **MEMBERS ONLY**SIGN UP NOW***. This senior-level role offers the chance to make a significant impact within the organization and the securities industry as a...
Points: Job Title: Associate General Counsel, Regulatory Full-time position R-008412 job requisition ID Responsible for managing adoption of new regulatory requirements Provides expert knowledge to Board of Governors and senior management Advises on...
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...
Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting)...
Investigator, VAST - FINRA Locations Summary: FINRA, a financial regulatory organization, is seeking a Principal Investigator for their Vulnerable Adults and Seniors Team (VAST) in various locations across the United States. This individual will be responsible for investigating...
Member Supervision Strategic Engagements & Publications - Any FINRA Location Full time posted on Posted Today job requisition id R-008594 The Director, Strategic Engagements & Publications, is responsible for supporting the Office of...