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Principal Investigator, Specialist Team, is a full-time position that is responsible for conducting high complexity routine and special investigations of FINRA member firms. This role also involves investigating potentially suspicious activities of persons associated with FINRA member firms and providing...
Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years of legal experience required Salary: Based on location and experience, ranging from $127,300 to $296,100 Job Type: Full-time Purpose and Meaning:...
Risk Monitoring - Capital Markets - Any Finra Location The Director of Risk Monitoring will oversee the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping. They will actively supervise the activities of...
FINRA organization is looking for an experienced Investigative Director to join their team in various locations. This full-time position will oversee the examinations and investigations of broker-dealers' compliance with applicable rules and regulations, as well as financial crimes. The Director...
is an Employer of Choice FINRA has been named a Best Place to Work by several outlets, including the Washington Post, Financial Times and InvestmentNews. We are proud to offer a culture of inclusiveness and collaboration that is both...
responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. The ideal candidate will have a Bachelor's Degree in Finance, Accounting, Business or a... related field, with a graduate degree or...
Vice President, Regulatory Liaison will be responsible for strengthening and leading the Office of Regulatory Liaison (ORL) within Member Supervision. This role will partner closely with FINRA’s Office of Liaison and Counsel (OLC) and Government Relations Group to maintain strong...
Friendly Job Title: Vice President & Associate General Counsel, Capital Markets Policy H1 Heading: Join FINRA as Vice President & Associate General Counsel, Capital Markets Policy H2 Heading: Lead a Team of Attorneys in Developing and Implementing Capital...
resumes will be reviewed by FINRA's Talent Acquisition team and only those resumes that meet the criteria will be forwarded to the hiring manager for consideration. Job Title: Associate Principal Analyst, Risk Monitoring - Any FINRA Location...
Paralegal/Legal Operations - **MEMBERS ONLY**SIGN UP NOW***. - $25-30/hr - 3+ years experience H1: Junior Paralegal/Legal Operations at **MEMBERS ONLY**SIGN UP NOW***. - $25-30/hr - 3+ years experience H2: Join the Accion Team as a Junior Paralegal/Legal Operations **MEMBERS ONLY**SIGN UP NOW***., a...