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Job Title: Principal Analyst, Regulatory Services Management H1:... a Principal Analyst in Regulatory Services Management H2:... Help Ensure Regulatory Compliance and Oversight in... Organization: FINRA (Financial Industry Regulatory Authority) Department: Market... Regulation and Transparency Services (MRTS)...
H1: Director, Regulatory Services Management - Full... Overview: The Director, Regulatory Services Management (RSM) is... reporting functions for RSM, including acting as a centralized resource for Regulatory Operations (RegOps) on Cross... Market Regulatory Working Group (CMRWG) matters... and Inter...
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abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and require affirmative action by covered prime contractors and subcontractors to...
with a background in regulatory or legal environments? Do... you have a strong understanding of federal securities laws and FINRA rules? If so, we have an exciting opportunity for you as a Manager in our Private Placement Review department. In...
Analyst, Public Offerings - Responsible for analyzing complex and high-profile public offering transactions. Intermediate-level professional work with limited supervision. Salary Information: - California: Minimum of $78,900, Maximum Salary $146,900 - Washington, DC: Minimum Salary $78,900, Maximum Salary $140,800 -...
to work independently and as part of a team Ability to handle multiple tasks and deadlines simultaneously Strong analytical and problem-solving skills Proficiency in Microsoft Office Suite and legal research tools Salary Information: The salary range for this position...
hires must pass a background check/drug screen. Qualified applicants with arrest and/or conviction records will be considered for employment in a manner consistent with federal and state laws, as well as applicable local ordinances, including but not limited to the...
Information: Salary for this position ranges from $156,900 to $202,950 per year, depending on location. Please note that salary ranges may vary for different labor markets outside of Northern California. Job Title: Counsel II, Health Plan & Care...
of the Financial Industry Regulatory Authority, Inc. H1: Senior Paralegal,... in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) Department: Office of Oversight... Liaison and Counsel (OLC) Job Title: Senior Paralegal, Oversight Liaison and Counsel Essential Job Functions: - Provide paralegal support to OLC at...