Save your search progress and never miss an update
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
FINRA Department: Market Regulation and Transparency Services Job Title: Principal Analyst, Regulatory Services Management Experience: Minimum of 8 years Salary Range: $92,500 - $200,200 (varies by location) Job Type: Full Time H1: Principal Analyst, Regulatory Services Management - **MEMBERS ONLY**SIGN UP NOW***...
strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at . Please note that this number is exclusively for inquiries regarding application...
FINRA Department: Risk Monitoring Job Title: Principal Analyst, Risk Monitoring Experience: - Minimum of 5 years of experience in risk monitoring, financial analysis, or related field. - Experience in the financial industry, with a strong understanding...
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...
Title: Principal Analyst, Risk Monitoring Organization: FINRA (Financial Industry Regulatory Authority) Experience: Senior-level Salary: Dependent on location and qualifications, ranging from $92,500 to $200,200 Location: Any FINRA location (CA, WA, DC, CO, HI, MN, VT, NY, WA, MD) H1:...
President & Associate General Counsel, Capital Markets Policy - $175,600 to $345,700 (Remove contact information, replace company name with organization, replace firm name with organization, replace department name with department) H1: Vice President & Associate General Counsel, Capital Markets Policy - Apply...
resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is...
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 **MEMBERS ONLY**SIGN UP NOW***...
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...