Save your search progress and never miss an update
audit reports. The PCAOB also oversees the audits of broker-dealers, including compliance reports filed pursuant to federal securities laws, to promote investor... protection. H1: Summer 2025 Legal Intern Opportunity with the PCAOB H2: Join Our Mission to Protect Invest...
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,...
manage, and try complex securities cases. Organization: **MEMBERS ONLY**SIGN UP NOW***... (Financial Industry Regulatory Authority) Department: Enforcement Full-time position Job Requisition ID: R-008520 Location: Nationwide The Senior Litigation Counsel at FINRA is responsible for representing the organization...
Enforcement - Job Posting The Enforcement Director will manage a team of 5-8 Enforcement attorneys, overseeing the development and resolution of Enforcement cases from beginning to end. This role requires a strong leader with excellent communication skills and the...
bar, and a minimum of 6-8 years of directly related legal experience. They should also have advanced knowledge of laws, rules, and regulations governing... the securities industry, along with strong... organizational, communication, judgment, analytical, and interpersonal skills. The position is...
General Counsel, Regulatory - Full Time Posted Yesterday Job Requisition ID: R-008412 The organization is looking for an Associate General Counsel, Regulatory to manage the complete life cycle of adopting new regulatory requirements. This includes providing expert...
Deputy Chief Counsel, Division of Registration and Inspections, mission-driven, investor protection, audit standards, inspection, enforcement, ethical, professional conduct, compensation, hybrid work, paid time off, health benefits, family resources, commuter benefits, legal, Sarbanes-Oxley Act, SEC, professional standards, risk assessment, performance management,...
without regard to race, color, religion, sex, gender identity, sexual orientation, national origin, age, disability, genetic information or veteran status or any other category protected by law. FINRA is an independent, non-governmental regulator for all securities firms doing busines...
Principal Investigator, Cyber Enabled Fraud Group - All FINRA Locations Full time posted on Posted Today job requisition id R-008413 The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled...
Friendly Job Title: Principal Investigator, VAST - Financial Crimes Program (NCFC) H1 Heading: Join FINRA's VAST Team and Fight Against Financial Exploitation of Seniors and Vulnerable Adults H2 Heading: Conduct Complex Investigations and Make a Difference in Protecting...