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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...
Director, Regulatory Services Management - Full Time H2: Job Requisition ID: R-008259 Position Overview: The Director, Regulatory Services Management (RSM) is a key role within Market Regulation and Transparency Services (MRTS). This position is responsible for managing important...
is a registered trademark of the Financial Industry Regulatory Authority, Inc. H1: Senior Paralegal, Oversight Liaison and Counsel - Full Time Position with FINRA H2: Join Our Team and Make a Difference in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) Department: Office...
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Enforcement - Woodbridge, NJ/Jersey City, NJ/Jericho, NY/Denver, CO/Dallas, TX/Chicago, IL/Boston, MA/Boca Raton, FL/Washington, DC/San Francisco, CA/Rockville, MD/Philadelphia, PA/New York, NY/Los Angeles, CA Overview: - The Enforcement Director manages a team of 5-8 attorneys responsible for developing and resolving...
interested candidates should submit their resume through the FINRA career site at – search for R-008330. FINRA is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age,...
President, Corporate Financing Department - Salary Information, Job Title and Experience Information - Job Title: Vice President, Corporate Financing Department - Salary: Ranges from $175,600 to $345,700 (depending on location and experience) - Experience: Minimum of 10 years in...
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)...
opportunity? Join the Public Company Accounting Oversight Board (PCAOB) as a legal intern and make a difference in global investor protection. We are a nonprofit organization established by Congress to oversee the audits of public companies and SEC-registered brokers and dealer...
Investigator, NCP - All FINRA Locations Full Time Posted Today R-008443 Organization: FINRA Job Requisition ID: R-008443 Overview: FINRA's National Cause Program (NCP) is seeking a Principal Investigator to join their team. The NCP is responsible...