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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,......
Title: Director, Regulatory Services Management H1 Heading: Join... Director of Regulatory Services Management H2 Heading: Manage... Director of Regulatory Services Management (RSM) at FINRA is... seeking a skilled and experienced individual to join their team. As the Director,...
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...
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)...
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...
Analyst, Risk Monitoring - Any FINRA Location Full Time Posted Today R-008249 FINRA is looking for a Principal Analyst, Risk Monitoring to join our team. This senior-level position will be responsible for conducting risk monitoring activities...
Enforcement - Job Description H1: Director, Enforcement - Lead a Team of Attorneys in Resolving Enforcement Cases H2: Join the Team at FINRA and Make a Difference in the Securities Industry SEO Job Title: Director, Enforcement -...
**MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Director, Enforcement - Job Description Summary: - The Director of Enforcement is responsible for managing a team of attorneys to develop...
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...
Vice President, Advertising Regulation is a key leadership position within the Corporate Financing and Advertising Regulation team at **MEMBERS ONLY**SIGN UP NOW***. This role is responsible for the effective operation of the Advertising Regulation Department, including managing its regulatory review programs, policy and...