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Vice President, Corporate Financing Department will be a key member of the Corporate Financing and Advertising Regulation leadership team within the Offices of the Chief Legal Officer (OCLO). This role will involve managing the regulatory review programs, rulemaking and... interpretation,...
Principal, Enforcement Central Intake Group Apply Logo locations Rockville, MD (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL...
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)...
**MEMBERS ONLY**SIGN UP NOW***. (CLF) Job Title: Clean Air & Water Attorney Experience Level: Staff Attorney Level I or II or Senior Attorney, depending on years of experience Location: Boston, MA (with potential for remote and flexible work within New England) Job Description: - Devise and...
Publications!** FINRA, the Financial Industry Regulatory Authority, is seeking a... highly skilled and experienced Director to join our Office of Strategic Engagement (OSE) in providing strategic leadership and guidance for Member Supervision's (MS) publications for member firms. In t...
is an equal opportunity employer committed to creating and maintaining a diverse workforce. We value diversity and our differences and foster an inclusive culture where employees are respected and feel they belong. We encourage applicants from diverse backgrounds to apply....
Director, Risk Monitoring - All FINRA Locations FINRA is currently seeking a Senior Director, Risk Monitoring to join our team in all FINRA locations across the United States. In this role, you will serve as the single point of...
responsible for leading and implementing the strategic direction of the Cause Investigations program for a particular firm grouping or groupings, and collaborating across firm groupings. The ideal candidate will have significant experience in securities, compliance, or financial regulatory work...