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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 The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
Job Title: Director, Regulatory Services Management at FINRA H1: Join FINRA as Director, Regulatory Services Management H2: Lead Key Operations and Reporting Functions for RSM Bold Headlines: - Manage Operations and Reporting for Regulatory Services Management...
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...
Friendly Job Title: Enforcement Counsel at FINRA H1: Join FINRA as an Enforcement Counsel and Make a Difference in Financial Regulatory Matters H2: Resolve Non-Complex Enforcement Matters and Contribute to High Quality Work for Large Complex Matters...
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...
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...
Principal Investigator, Specialist Team - All FINRA Locations H2: Conduct High Complexity Investigations and Provide Guidance to Member Supervision Staff Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Investigator, Specialist Team Employment Type: Full-time Job Requisition ID: R-008445...
representing the organization in appeals before the National Adjudicatory Council. The ideal candidate will have a law degree and at least... thirteen years of litigation experience, with a strong understanding of federal securities laws and regulations. This is a...