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Counsel, Enforcement - Salary, Job Title, and Experience Information Job Title: Principal Counsel, Enforcement Organization: FINRA (Financial Industry Regulatory Authority) Experience: Minimum of seven years of relevant legal experience in the financial regulatory space or related areas....
Assistant General Counsel, Regulatory will provide senior-level legal advice and support to FINRA's Board of Governors and advisory committees on complex and sensitive regulatory initiatives and rule changes. They will also serve as a subject matter expert in various areas...
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...
Litigation Counsel, Enforcement - Any FINRA Location Job Type: Full-Time Job Location: Various locations, including 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;...
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...
Principal Investigator, Specialist Team position at FINRA is a highly specialized role that requires an expert level of knowledge and experience in conducting investigations of FINRA member firms and registered representatives. This position is responsible for proactively surveilling the industry...
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strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at . Please note that this number is exclusively for inquiries regarding application...
Regulatory Services Management - Full Time Job Requisition ID: R-008259 Organization: FINRA Department: Market Regulation and Transparency Services (MRTS) Salary Range: $127,300 - $296,100 (based on location and candidate qualifications) The Director, Regulatory Services Management...
Analyst, Risk Monitoring-Diversified, Carrying and Clearing - ANY FINRA location The Principal Analyst, Risk Monitoring-Diversified, Carrying and Clearing will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director....