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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: Supervising Attorney or DOJ Accredited Representative Classification & FLSA Status: Full time Exempt Salary: $77,000-$90,000 Depending on experience and qualifications Department: Legal Department Temporary Protected Status (TPS) Reports to: Managing Attorney and Legal...
- $105,000 Experience: 1-2 years of litigation experience Probationary Period: Nine months Work Environment: Hybrid, remote and onsite work available Responsibilities: • Act as the first point... of contact for intake staff processing referrals • Provide regular sup...
Regulatory Services Management - Full Time - R-008259 FINRA is seeking a Director, Regulatory Services Management (RSM) to join our Market Regulation and Transparency Services (MRTS) team. This role will be responsible for managing key operations and reporting functions...
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of **MEMBERS ONLY**SIGN UP NOW***. is currently seeking a highly skilled and experienced Assistant General Counsel to join our team. This is a full-time, on-site position located in Los Angeles, California. The Assistant General Counsel - Regulatory will provide...
• Position: Assistant General Counsel - Litigation • Location: Los Angeles, California (100% on-site) • Salary Range: $169,, • Organization: **MEMBERS ONLY**SIGN UP NOW***. (CHLA) • Department: Office of the General Counsel • Employment Type: Full-time • Education: Juris...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, sex, gender identity, sexual orientation, national...
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...
Title: Principal Investigator, Specialist Team - All FINRA Locations Salary Range: $92,500 - $200,200 Job Type: Full Time H1: Join Our Team as a Principal Investigator! H2: Conduct High Complexity Investigations at FINRA The Organization: - **MEMBERS ONLY**SIGN UP NOW***...