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Enforcement - Job Opportunity with FINRA Responsibilities: - Manage a team of 5-8 Enforcement attorneys, overseeing all stages of Enforcement cases from inception to completion. - Ensure that all outcomes in Enforcement matters are supported by thorough and...
Enforcement The Director of Enforcement is responsible for managing a team of 5-8 attorneys and overseeing the resolution of Enforcement cases from start to finish. This includes ensuring that all factual findings are well-supported and that legal frameworks are...
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 maintain market integrity in a...
legal experience in a regulatory or legal environment Education:... Law degree and admission to the bar Salary Range: - California: Minimum $106,400, Maximum $200,200 - Washington, DC/Maryland: Minimum $106,400, Maximum $191,800 - Colorado/Hawaii/Minnesota/Vermont: Minimum $92,500, Maximum $166,800 - New York,...
PA New York, NY Los Angeles, CA *Salary Range: Varies by Location *Job Requisition ID: R-008466 The Organization: FINRA, or the Financial Industry Regulatory Authority, is... a non-governmental organization that acts as a self-r...
externship opportunity at the Financial Industry Regulatory Authority (FINRA).... As a Legal Extern, you will work closely with Enforcement's attorneys, investigators, and management to assist in investigating potential violations of federal securities laws or FINRA and MSRB rules by regulated...
and Counsel Organization: FINRA (Financial Industry Regulatory Authority) Department:... Office of Oversight Liaison and Counsel (OLC) Location: Various locations (Rockville, MD, Washington, DC, New York, NY) Time Type: Full time Posted On: Posted 2 Days Ago Job Requisition ID: R-008279...
interested candidates must submit their application through the FINRA Careers site at – no exceptions. If you do not submit an application through our site, you will be contacted to request that you apply electronically. FINRA is an...
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 maintain market integrity in a...
Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting)...