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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,......
Principal Analyst, Regulatory Services Management H1: Join **MEMBERS ONLY**SIGN UP NOW***... Analyst in Regulatory Services Management H2: Help Ensure... Regulatory Compliance and Oversight in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) Department: Market Regulation and Transparency Services...
H1: Director, Regulatory Services Management - Full Time H2:... The Director, Regulatory Services Management (RSM) is a key... role within Market Regulation and Transparency Services (MRTS). This position is responsible for managing important operations and reporting functions for RSM, including...
is a registered trademark of the Financial Industry Regulatory Authority, Inc. H1: Senior Paralegal, Oversight Liaison and Counsel - Full Time Position with FINRA H2: Join Our Team and Make a Difference in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) Department: Office...
Vice President & Associate General Counsel, Capital Markets Policy - Full-time position - Locations: New York, NY Chicago, IL Boston, MA Washington, DC Chicago (North Wacker Drive) Rockville, MD Philadelphia, PA - Job requisition ID: R-008325 - Reporting...
President, Corporate Financing Department - Salary Information, Job Title and Experience Information - Job Title: Vice President, Corporate Financing Department - Salary: Ranges from $175,600 to $345,700 (depending on location and experience) - Experience: Minimum of 10 years in...
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)...
Rights Counsel: Salary Information, Job Title, and Experience Salary Information: - Annual salary starting at $125,000, commensurate with years of experience - Subject to a locality adjustment if working outside of the listed location - Comprehensive health insurance plan with no in-network deductible and...
Director, Federal Policy & Advocacy, Washington, DC, Government & External Relations, Federal Policy & Advocacy, **MEMBERS ONLY**SIGN UP NOW***., global human rights organization, reproductive rights, law, policy, advocacy, non-profit, non-partisan, law firms, legal services, litigation, legal policy, advocacy work, operating...
frieldly job title: Principal Analyst, Risk Monitoring - Any FINRA Location H1 heading: Join FINRA as a Principal Analyst, Risk Monitoring H2 heading: Senior Position with Competitive Salary and Excellent Benefits Organization: FINRA (Financial Industry Regulatory Authority) Department: Risk...