Guidelines, and other relevant laws and best practices. - Onboard... participants in the COPPA Safe Harbor program, including reviewing privacy policies and ensuring ongoing compliance. - Provide guidance and support on child-related technology and security legal issues to stakeholders. -... Review and...
is seeking an experienced Compliance Officer to join their team in Arlington, VA. As a senior member of the team, the Compliance Officer will play a vital role in ensuring Homestead’s adherence with federal securities rules and regulations. The Compliance...
H1: Senior Counsel - Privacy (Remote) H2: **MEMBERS ONLY**SIGN UP NOW***. - A Reputed Firm in Education Industry H2: Join Our Team and Make a Difference in K-12 Education Bullet Points: - **MEMBERS ONLY**SIGN UP NOW***. is a mission-driven Public Benefit...
Job Title: Associate General Counsel - Capital Markets H1 Heading: Join the Team at FINRA as an Associate General Counsel for Capital Markets H2 Heading: Expert Legal Counsel and Policy Advisor for High-Impact Regulatory Initiatives Bullet Points:...
**MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. The Counsel for Discovery & Litigation will handle information requests from FINRA, its officers, and employees, as well as third-party subpoenas in arbitration...
Principal Investigator, NCP - IRG - Any Finra Location locations Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations...
Enforcement Apply time type Full time posted on Posted Today job requisition id R-008956 The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from...
Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Associate Principal Investigator, NCP - IRG Experience: Bachelor's degree or equivalent, advanced degree or law degree preferred Location: Various FINRA locations, including New York, NY; Jersey City, NJ; Jericho, NY; Denver,...
friendly job title: Associate Principal Investigator, NCP - IRG - All FINRA Locations H1: Join FINRA as an Associate Principal Investigator H2: Investigate Regulatory Matters at FINRA's IRG Department Associate Principal Investigator, NCP - IRG - All...
public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and... offers them education and training, and informs the investing public. In addi...
Principal Investigator, NCP - IRG - All Locations Organization: FINRA Department: Initial Review Group (IRG) Location: Multiple Locations (Boston, MA; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago,...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist is a crucial role within the Financial Intelligence Unit (FIU) of the organization’s National Cause and Financial Crimes Detection Program (NCFC). The primary responsibilities include: - Collaborating with internal and...
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: **MEMBERS ONLY**SIGN UP NOW***. Department: Office of Oversight Liaison and...
Advisor, Member Supervision - All FINRA Locations Apply Logo Strategic Advisor, Member Supervision - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job...
Operations, Procedures and Standards - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type...
MS Operations, Procedures and Standards - All FINRA Locations FINRA is currently seeking a Director for their Member Supervision Operations, Procedures and Standards team. This individual will report directly to the Vice President and will be responsible for providing...
Friendly Job Title: Associate Director, Regulatory Policy Legal Support - Washington, DC/Rockville, MD H1 Heading: Join Our Team as the Associate Director of Regulatory Policy Legal Support H2 Heading: Essential Job Functions and Requirements for the Associate Director...
Analyst, Risk Monitoring - All FINRA Locations Location: Multiple locations including New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD;...
abides by the requirements of 41 CFR ). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities....
The organization is seeking a Vice President, Enforcement Legal to lead their attorney teams in high-impact investigations and disciplinary actions. This role requires a minimum of 10 years of complex experience, preferably involving securities laws, and a minimum of......
activity for compliance with FINRA and SEC rules and other securities laws. The Senior Analyst conducts... investigations of cases which have been identified as potential areas of concern relating to private placements and other corporate financing activities. This is...
Enforcement Apply time type Full time posted on Posted Today job requisition id R-008956 The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from...
Friendly Job Title: Associate Principal Analyst, Private Placement - Rockville, MD H1 Heading: Join Our Team as an Associate Principal Analyst, Private Placement in Rockville, MD H2 Headings: - Essential Job Functions - Education/Experience Requirements - Work Conditions...
Friendly Job Title: Principal Investigator, NCP - FINRA H1: Join FINRA as a Principal Investigator, NCP H2: Investigate Financial Fraud as a Principal Investigator with FINRA Bold Headline: FINRA is Seeking Experienced Investigators for their National Cause...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color,...
FINRA Department: Member Supervision Location: Various Locations Job Type: Full-time Job Title: Principal Investigator, High Risk Representatives - All FINRA Locations Experience: Expert level Education: Bachelor's degree or equivalent relevant experience required; advanced degree or law degree, preferred Job Requisition...
Principal Investigator, NCP - IRG - All FINRA Locations: - Job Title: Senior Principal Investigator, NCP - IRG - Organization: FINRA - Department: Initial Review Group (IRG) - Experience: Substantial experience in the securities/financial industry with increasing levels of...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist operates within the Financial Intelligence Unit (FIU) of the organization’s National Cause and Financial Crimes Detection Program (NCFC), focusing on strategic and tactical intelligence to identify emerging risks and...
Advisor, Member Supervision - All FINRA Locations Apply Logo Strategic Advisor, Member Supervision - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job...
Operations, Procedures and Standards - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type...
national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon... the protected status of the person’s relatives, friends or associates. FINRA abides by...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director within the organization's Cyber and Analytics Unit (CAU) is responsible for leading the Cyber-Enabled Fraud (CEF) team. This role involves oversight of planning and execution of cyber-enabled fraud investigations involving...