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Director The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and 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...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. 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...
is an Equal Opportunity and Affirmative Action Employer The Assistant General Counsel, Regulatory will be responsible for providing senior-level legal advice and support in connection with the adoption of new regulatory initiatives. This position will also serve as a...
Complex Regulatory Initiatives and Rule Changes H1: Join... Complex Regulatory Initiatives and Rule Changes H2: Lead... Regulatory Policy and Provide Expert Legal Counsel at FINRA Organization: FINRA Department: Office of General Counsel Salary Information:...
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...
Friendly Job Title: Principal Investigator, Specialist Team H1 Heading: Principal Investigator, Specialist Team - All FINRA Locations H2 Heading: Conduct High Complexity Investigations and Provide Guidance to Member Supervision Staff Bullet Points: - Conduct high complexity...
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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 prohibit discrimination against all individuals based on their race, color,...
veteran status or any other classification protected by applicable law in the application for... employment at FINRA, as well as any other term or condition of employment. All resumes submitted by search firms to any employee at FINRA withou...