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friendly job title: Senior Director, Special Investigations Unit - FINRA - Full Time H1: Senior Director, Special Investigations Unit - Any FINRA Location H2: About FINRA's Special Investigations Unit (SIU) Salary Information: - Minimum salary: $149,600 - Maximum salary:...
is seeking a Principal Counsel, Enforcement to join our team in various locations across the US. This position offers a competitive salary and benefits package, including a discretionary bonus, comprehensive health, dental and vision insurance, 401(k) plan with company match,...
Senior Litigation Counsel, Enforcement - Any FINRA Location Salary: - California: Minimum Salary $146,200, Maximum Salary $296,100 - Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800 - Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600 - New York, NY:...
FINRA Department: Office of General Counsel Location: Washington, DC Salary: R-008031: Assistant General Counsel, Regulatory Assistant General Counsel, Regulatory – Full Time Purpose and Meaning in Work – Join Us at FINRA! As a not-for-profit...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
examinations and investigations of broker-dealers' compliance with applicable rules... and regulations, and financial crimes. This is a senior-level position that involves supervising specialist examination staff, identifying risks, developing regulatory strategies, and managing staff to address those risks. The Director also...