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Attorney, Labor and Employment The candidate will work closely with the People Team, Ethics and Compliance, senior management, and with local and regional legal teams, assisting with day-to-day and sensitive employment matters, internal investigations, interpretation of local legal requirements, application...
General Counsel, Regulatory: H1: Join FINRA as an Associate General Counsel, Regulatory H2: Lead Regulatory Initiatives and Rule Changes Organization: FINRA Department: Office of General Counsel Job Title: Associate General Counsel, Regulatory Job Type: Full-Time Location: Remote/Office...
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...
and qualifications. See below for details. Job Title: Director, Enforcement Experience: Minimum 7 years in securities-related regulatory and/or complex litigation,... with at least 5 years working for a regulatory entity, member firm, or law firm. Responsibilities: - Ma...
ensuring high-quality and timely outcomes in each matter, as well as collaborating with other departments and managing staff performance. The role requires a law degree and a minimum of seven years of securities-related regulatory and/or litigation experience.... The salary range...
abides by the requirements of 29 CFR 51304(c). This regulation prohibits discrimination against qualified individuals on the basis of race, color, religion, sex, age, national origin, sexual orientation, gender identity, marital status, disability, genetic information or status as a member...
Friendly Job Title: Vice President & Associate General Counsel, Capital Markets Policy H1: Join FINRA as Vice President & Associate General Counsel, Capital Markets Policy H2: Lead a Team of Attorneys in Developing and Implementing Capital Markets Policy Initiatives Bold Headlines: Expert Knowledge...
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 trust. FINRA employs a diverse workforce and is an Equal Opportunity Employer....
is an Equal Opportunity and Affirmative Action Employer Enforcement Principal Counsel - Job Description Location: Various Locations Organization: FINRA Department: Enforcement Employment Type: Full Time Overview: FINRA, the Financial Industry Regulatory Authority, is seeking a...
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...