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Chief Counsel, Division of Registration and Inspections: Salary Information, Job Title, and Experience Information Salary Information: - Compensation ranges from $242,000 - $399,100 per year, based on market analysis - Immediate vesting and contributions matched dollar for dollar, up to 7% of eligible...
Principal Investigator, VAST - All FINRA Locations H1: Join FINRA as a Principal Investigator in the Vulnerable Adults and Seniors Team (VAST) H2: Conduct Complex Investigations and Collaborate with Other Units Across the Organization Summary: **MEMBERS ONLY**SIGN UP NOW***...
Intelligence Specialist, FIU - All FINRA Locations Salary Information: - The salary range for this position varies depending on location and other factors such as skill set, level of experience, and education. - The minimum salary for California is...
proposed public offering underwriting arrangements to ensure compliance with FINRA and SEC rules as well as other securities laws. This is intermediate-level... professional work in which incumbents are performing their assigned roles, applying professional expertise, and working under limited s...
national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon... the protected status of the person’s relatives, friends or associates. FINRA abides...
Litigation Counsel, Enforcement: - Represent FINRA in complex disciplinary proceedings nationwide. - Provide guidance and advice on statutory disqualification and waiver/exemption requests. - Draft and review legal documents, including complaints and motions. - Oversee pre-hearing tasks and ensure team...
Litigation Counsel, Enforcement - Full Time Locations: Washington, DC, Jersey City, NJ, Jericho, NY, Denver, CO, Dallas, TX, Chicago, IL, Boston, MA, Boca Raton, FL, Woodbridge, NJ, San Francisco, CA, Rockville, MD, Philadelphia, PA, New York, NY, Los Angeles, CA...
non-governmental regulator for all securities firms doing business with... public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry...
research, and develop legal strategies to assess and prosecute cases. The ideal candidate will have a minimum of seven years of relevant legal experience in the financial regulatory field and possess a strong understanding of securities laws and FINRA ru......
non-governmental regulator for all securities firms doing business with... public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry...