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direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area. Demonstrate expertise with respect to the Exchange Act and Investment Advisers Act, their rules,......
Director, Regulatory Services Management - Full Time ... Job Requisition ID: R-008259 Organization: FINRA Department: Market Regulation and Transparency Services (MRTS) Salary Range: $127,300 - $296,100 (based on The Director, Regulatory Services Management (RSM) is responsible for......
Paralegal, Oversight Liaison and Counsel Job Title: Senior Paralegal, Oversight Liaison 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:...
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)...
Title: Principal Analyst, 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:...
Analyst, Risk Monitoring - Any FINRA Location Full-time position with competitive salary and benefits R-008249 job requisition ID As a Principal Analyst in Risk Monitoring at FINRA, you will play a crucial role in identifying and assessing...
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 - 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...
FINRA is Hiring a Director of Enforcement H2: Manage a Team of Attorneys and Ensure High-Quality Enforcement Outcomes Organization: FINRA Location: New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX Time Type: Full time Salary Range: $127,300 - $296,100 (depending on location...
offers of employment at FINRA are subject to a thorough background investigation. FINRA is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status,...