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Job Title: Director, Enforcement Job Type: Full-Time Experience Required: Minimum 7 years of regulatory and/or litigation experience in the securities... industry Location: Multiple locations... in the United States Salary Range: $127,300 - $296,100 (varies by location and experience) Over...
a law degree and a minimum of seven years of experience in securities-related regulatory and/or complex litigation, with at least five... years spent working for a regulatory entity, member firm, or law firm. The Director is responsible for ensuring tha...
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non-governmental regulator for all securities firms doing business with... public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry...
non-governmental regulator for all securities firms doing business with... public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry...
Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years of directly related legal experience Salary Range: $127,300 - $296,100 (depending on location and qualifications) Organization: FINRA (Financial Industry Regulatory Authority) Department: Office of General Counsel Job Type: Full-time Location: Multiple locations (Washington, DC; Jericho, NY; Denver,...
- Job Title: Associate General Counsel, Regulatory - Organization: FINRA - Type: Full-time - Location: Hybrid work environment (remote/office) - Salary: Varies based on location and factors such as skill set, experience, and education - Job Requisition ID: R-008412...
Senior Litigation Counsel, Enforcement The... currently seeking a Senior Litigation Counsel to join their... Council. The ideal candidate will have a law degree and at least thirteen years of litigation experience, with a strong... understanding of trial techniques and...
H1: Senior Litigation Counsel, Enforcement - Represent... proceedings and appeals before the National Adjudicatory Council - Provides guidance and advice on issues related to statutory disqualification, member application denials, and waiver/exemption requests - Drafts legal documents and conducts litigation consul...