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implementation of the annual compliance work plan Reviews... and updates compliance policies and procedures as... needed Performs compliance investigations, including interviewing employees... analyzing data Conducts compliance audits and risk assessments... Develops and delivers compliance training and education programs... compliance...
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FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission...
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...
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)...
Associate Director, Policy Initiatives at The Good Food Institute (GFI) Location: Hybrid (Washington .) Salary: $128, - $134, (depending on experience and qualifications) H1: Join GFI as an Associate Director, Policy Initiatives H2: Make a Difference in the Future...
FINRA is seeking an experienced Assistant General Counsel, Labor & Employment to provide strategic legal advice and support on labor and employment matters. This position requires a Juris Doctorate (.) and a minimum of eight (8) years of practicing...
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 prohibit discrimination against all individuals based on their race, color,...
Cause Investigations program across all FINRA locations. This is a full-time position and the successful candidate will have significant securities, compliance, or financial regulatory experience, as well as... experience managing projects and people. H1: Senior Director, Investigations - Al...
Senior Counsel - Join the Nation's Leading Provider and Advocate of Reproductive Healthcare H1: Manage Reproductive Healthcare Advocacy at Planned Parenthood H2: Join the PPL&L Team as a Managing Senior Counsel Organization: Planned Parenthood Federation of America (PPFA) Job...