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FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and...
bar, and a minimum of 6-8 years of directly related legal experience. They should also have advanced knowledge of laws, rules, and regulations governing... the securities industry, along with strong organizational, communication, judgment, analytical, and interpersonal skills. The position is...
General Counsel, Regulatory - Full Time Posted Yesterday Job Requisition ID: R-008412 The organization is looking for an Associate General Counsel, Regulatory to manage the complete life cycle of adopting new regulatory requirements. This includes providing expert...
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...
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FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, sex, gender identity, sexual orientation, national...
Principal Investigator, Cyber Enabled Fraud Group - All FINRA Locations Full time posted on Posted Today job requisition id R-008413 The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled...
Friendly Job Title: Principal Investigator, NCP - FINRA H1: Join the FINRA Team as a Principal Investigator H2: Investigate Fraud and Misconduct at All FINRA Locations Organization: FINRA Department: National Cause Program (NCP) Salary Information:...
Title: Principal Investigator, Specialist Team - All FINRA Locations Salary Range: $92,500 - $200,200 Job Type: Full Time H1: Join Our Team as a Principal Investigator! H2: Conduct High Complexity Investigations at FINRA The Organization: - **MEMBERS ONLY**SIGN UP NOW***...
Principal Analyst, Risk Monitoring will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. This is a senior-level position reporting to a Risk Monitoring Director and will support both that direct manager in identifying existing...