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to effectively use computer software and technology as required by the assigned tasks (., Microsoft Office, Outlook, etc.) Ability to develop and maintain relationships with management, boards, and committees, as well as with other Legal Team members Ability to travel...
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...
hires must pass a background check/drug screen. Qualified applicants with arrest and/or conviction records will be considered for employment in a manner consistent with federal and state laws, as well as applicable local ordinances, including but not limited to the...
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...
Information: The salary for this position is $130,000 - $150,000 per year, depending on experience and qualifications. A Nonprofit, Regional Organization also offers a comprehensive benefits package including health, dental, vision, and life insurance, 401(k), paid time off, professional development opportunities, and...