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Vice President, Corporate Financing Department will be a key member of the Corporate Financing and Advertising Regulation leadership team within the Offices of the Chief Legal Officer (OCLO). This role will involve managing the regulatory review programs, rulemaking and interpretation,...
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...
Friendly Job Title: Paralegal, Enforcement - Legal Support and Research Specialist H1: Join Our Team as a Paralegal, Enforcement at FINRA H2: Essential Job Functions Provide Legal Support and Conduct Research for FINRA Enforcement Team Job...
Organization: FINRA Job Title: Assistant General Counsel, Regulatory Experience: 6-8 years Location: Washington, DC; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL Salary Range: $127,300 - $296,100 (based on location and experience) Employment Type: Full-time Overview: FINRA,...
Job Title: Associate General Counsel, Regulatory - Full Time H1 Heading: Join FINRA as an Associate General Counsel, Regulatory H2 Heading: Expert Legal Counsel Opportunity in the Securities Industry Organization: FINRA Department: Office of General Counsel...