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Enforcement - Oversee a team of 5-8 Enforcement attorneys in developing and resolving cases Salary information: Ranges from $127,300-$296,100 depending on location and experience Job title: Director, Enforcement Experience: Minimum of 7 years in securities-related regulatory and/or complex litigation experience,...
registered trademark of the Financial Industry Regulatory Authority, Inc.... Director, Enforcement Salary Information: - Minimum salary: $127,300 - Maximum salary: $296,100 Job Title: Director, Enforcement Experience Information: - Minimum of 7 years of securities-related regulatory and/or complex litigation experience - Minimum of 5 years working...
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Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions - Conduct risk monitoring activities and ongoing risk assessments for FINRA members - Report to a Risk Monitoring Director and support in identifying existing and emerging risks -...
experience in risk monitoring, financial analysis, or related field.... - Experience in the financial industry, with a strong... understanding of regulatory developments and their impact on business models. - Experience in analyzing and addressing industry risks, such as fraud, money...
requires a minimum of ten years of experience in securities, compliance, or financial regulation, along with a... bachelor’s degree. An MBA, JD, or other relevant graduate degree is preferred. Reporting directly to the head of SRE, the Strategic Advisor...
Risk Monitoring Organization: FINRA (Financial Industry Regulatory Authority) Experience:... Senior-level Salary: Dependent on location and qualifications, ranging from $92,500 to $200,200 Location: Any FINRA location (CA, WA, DC, CO, HI, MN, VT, NY, WA, MD) H1: Join FINRA and...
resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is...
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...
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)...