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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...
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...
title: Director, Enforcement Experience: Minimum of 7 years in securities-related regulatory and/or complex litigation... experience, with at least 5 years in a regulatory entity, member firm, or law firm Remove contact information, phone, fax, address, and location Replace company na...
Enforcement - Full Time Job Requisition ID: R-008299 Organization: FINRA Location: Flexible (various office locations) The Enforcement Director at FINRA is responsible for managing a team of 5-8 attorneys and overseeing the development and resolution of...
Minimum salary: $127,300 - Maximum salary: $296,100 Job Title: Director, Enforcement Experience Information: - Minimum of 7 years of securities-related regulatory and/or complex litigation... experience - Minimum of 5 years working for a regulatory entity, member firm, or law firm with direct involvement in se...
President & Associate General Counsel, Capital Markets Policy - $175,600 to $345,700 (Remove contact information, replace company name with organization, replace firm name with organization, replace department name with department) H1: Vice President & Associate General Counsel, Capital Markets Policy - Apply...
friendly job title: Assistant General Counsel, Regulatory - Full Time H1 heading: Join FINRA as an Assistant General Counsel, Regulatory H2 heading: Senior-Level Legal Role with Purpose and Meaning Bold headlines: - Are you looking for meaningful...
Friendly Job Title: Director, Risk Monitoring - Capital Markets H1 Heading: Join FINRA as a Director of Risk Monitoring in Capital Markets H2 Heading: Lead a Team of Risk Monitoring Analysts and Oversee Risk Assessments for a Portfolio...
Job Type: Full Time H1: Principal Analyst, Regulatory Services Management - FINRA H2: Join the Team at FINRA as a Principal Analyst in Regulatory Services Management Summary: FINRA, a leading securities regulator, is seeking a... highly skilled and...
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