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Director, Regulatory Services Management - Full Time... Market Regulation and Transparency Services (MRTS) Salary Range:... The Director, Regulatory Services Management (RSM) is responsible... RSM within MRTS. This role includes acting as a centralized resource for Regulatory Operations...
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Assistant General Counsel, Regulatory - Washington, DC - Full-time... the adoption of new regulatory initiatives - Must have advanced... knowledge of laws, rules, and regulations governing the securities industry - Work closely with the Board of Governors and FINRA advisory committees to...
Counsel, Regulatory at FINRA (Financial Industry Regulatory Authority) -... the adoption of new regulatory requirements - Provides expert... high-impact, complex, and sensitive regulatory initiatives and rule changes... - Recognized as top expert in a particular subject matter area by **MEMBERS ONLY**SIGN UP NOW***...
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...
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...
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)...
Risk Monitoring Organization: FINRA (Financial Industry Regulatory Authority) Location:... Any FINRA Location (California, Washington DC, Colorado, Hawaii, New York, NY, Washington State) Salary Range: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington, DC: Minimum Salary $106,400...
you will play a crucial role in identifying and assessing risks of member firms. This senior-level position reports to a Risk Monitoring Director and involves collaborating with various internal departments to analyze and communicate regulatory intelligence. You will also... mentor...