Save your search progress and never miss an update
non-governmental regulator for all securities firms doing business with... maintain market integrity in a 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,...
salary range for this position is subject to change based on factors including, but not limited to, the location of the role, the candidate’s skills and qualifications, and the relevant market rate. Organization is currently seeking a highly skilled...
will work closely with Enforcement's attorneys, investigators, and management to assist in investigating potential violations of federal securities laws or FINRA and... MSRB rules by regulated firms and individuals. This is a part-time position, and externs must work a mini...
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...
Enforcement - Job Opportunity with FINRA Responsibilities: - Manage a team of 5-8 Enforcement attorneys, overseeing all stages of Enforcement cases from inception to completion. - Ensure that all outcomes in Enforcement matters are supported by thorough and...
Enforcement The Director of Enforcement is responsible for managing a team of 5-8 attorneys and overseeing the resolution of Enforcement cases from start to finish. This includes ensuring that all factual findings are well-supported and that legal frameworks are...
FINRA is Hiring a Director of Enforcement H2: Manage a Team of Attorneys and Ensure High-Quality Enforcement Outcomes Organization: FINRA Location: New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX Time Type: Full time Salary Range: $127,300 - $296,100 (depending on location...
Responsible for providing legal advice and support for the adoption of new regulatory initiatives - Must have advanced knowledge of laws, rules, and regulations governing... the securities industry - Work closely with... the Board of Governors and FINRA advisory committees to...
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...
NYLAG (**MEMBERS ONLY**SIGN UP NOW***.) Job Title: Staff Attorney, Shelter and Economic Stability Project Experience Level: Mid Level Employment Type: Full Time Salary Range: $77,079 - $81,675 (set pursuant to a collective bargaining agreement) Benefits: Medical, dental, vision, 401k, life insurance, long term disability,...