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Principal Counsel, Enforcement Organization: FINRA (Financial Industry Regulatory Authority) Location: Multiple locations (Rockville, MD, Jersey City, NJ, Jericho, NY, Denver, CO, Dallas, TX, Chicago, IL, Boston, MA, Boca Raton, FL, Woodbridge, NJ, Washington, DC, San Francisco, CA, Philadelphia, PA, New...
Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years of legal experience required Salary: Based on location and experience, ranging from $127,300 to $296,100 Job Type: Full-time Purpose and Meaning:...
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...
General Counsel, Africa and Europe The candidate will independently manage the Africa and Europe Legal Team to ensure the delivery of high-quality, customer-focused legal services to assigned Conservancy business units. Report to the General Counsel. Assist the General Counsel in...
Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...
Enforcement The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly....
Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...
of relevant rules, federal securities laws, and markets and... trading. Analyze the information received and identify the regulatory issues raised to determine, among other things, whether the organization has jurisdiction. Collect and analyze additional relevant information obtained from internal a...
SUMMARY: Senior Litigation Counsel, Enforcement - Any FINRA Location The Senior Litigation Counsel, Enforcement is responsible for representing FINRA in complex disciplinary proceedings and appeals. They will also provide guidance and advice on issues related to statutory disqualification,...
Principal Investigator, Specialist Team, is a full-time position that is responsible for conducting high complexity routine and special investigations of FINRA member firms. This role also involves investigating potentially suspicious activities of persons associated with FINRA member firms and providing...