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Associate Internship (Compliance Analyst - Monitoring and Testing) - Vienna, VA (Hybrid) The Compliance Monitoring and Testing team at organization plays a crucial role in **MEMBERS ONLY**SIGN UP NOW***.'s Compliance Management System (CMS). As a Summer Associate, you will...
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,...
Regulatory Services Management - Full Time H1: Apply for Director, Regulatory Services Management at FINRA H2: Join Our Team and Make a Difference! Are you looking for a challenging and rewarding career in the financial industry? FINRA, the...
a Strategic Advisor in Market Regulation & Transparency Services, you will play a critical role in providing leadership and strategic support to the head of Strategic Regulatory Engagement. This full-time position (posted today) requires a minimum of 10 years of...
Vice President, Regulatory Liaison - All FINRA Locations Salary: $175,600 - $345,700 Experience: Significant securities, compliance or financial regulatory experience Organization: FINRA Department: Office of Regulatory Liaison (ORL) Responsibilities: - Lead and strengthen the Office...
President, Corporate Financing Department - Salary Information Salary Range: $175,600 - $345,700 Job Title: Vice President, Corporate Financing Experience: Minimum of 10 years in the securities industry with experience in FINRA's Corporate Financing Rules Organization: **MEMBERS ONLY**SIGN UP NOW***...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color,...
General Counsel, Regulatory: H1: Join FINRA as an Associate General Counsel, Regulatory H2: Lead Regulatory Initiatives and Rule Changes Organization: FINRA Department: Office of General Counsel Job Title: Associate General Counsel, Regulatory Job Type: Full-Time Location: Remote/Office...
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...
Investigator, Specialist Team - All FINRA Locations The organization is seeking a highly experienced Principal Investigator to join their Specialist Team in all FINRA locations. The ideal candidate will have a strong background in conducting routine and special investigations...