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Associate 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...
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...
abides by the requirements of 41 CFR ). This regulation prohibits discrimination against qualified applicants or employees on the basis of race, color, religion, sex, national origin, age, disability, or where otherwise prohibited by applicable law. FINRA abides by the...
Vice President & Associate General Counsel, Capital Markets Policy... - Full Time FINRA is seeking a Vice President & Associate General Counsel, Capital Markets Policy... to join their team in various locations including New York, NY, Chicago, IL, Boston, MA, Washington,...
Friendly Job Title: Contracts Paralegal at Non-Profit Environmental Advocacy Organization H1: Join NRDC as a Contracts Paralegal - Work with a Dynamic Team on Environmental Law and Advocacy H2: Make a Difference in Protecting the Planet and Ensuring Clean Air, Water, and...
Friendly Job Title: Associate General Counsel - Employment Compliance H1:... Medicine as an Associate General Counsel H2: Advise on Labor... and Employment Matters in Healthcare Bold Headlines: - $10,000 Tuition Reimbursement and Student Loan Repayment Available - Comprehensive Benefits Package Including Matching 401(k) and...
Vice President, Corporate Financing Department - Full-time... role in the Corporate Financing and Advertising Regulation... with other FINRA departments - Leadership experience and advanced knowledge of corporate financing rules and industry... practices required Role Responsibilities - Manage the Corpo...
Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with...
Title: Senior Analyst, Public Offerings Experience: At least 3 years of related industry experience Education: Bachelor’s Degree, JD or MBA preferred Salary: - California: Minimum of $78,900, Maximum Salary $146,900 - Washington, DC: Minimum Salary $78,900, Maximum Salary $140,800 -...