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organization that regulates the securities industry. FINRA is dedicated... are licensed to conduct securities transactions for FINRA member... as well as the Securities Industry Essentials (SIE) exam,... and be registered with the . Securities and Exchange Commission (SEC)... and i...
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...
title: Director, Enforcement Experience: Minimum of 7 years in securities-related regulatory and/or complex litigation... experience, with at least 5 years in a regulatory entity, member firm, or law firm Remove contact information, phone, fax, address, and location Replace company na...
Minimum salary: $127,300 - Maximum salary: $296,100 Job Title: Director, Enforcement Experience Information: - Minimum of 7 years of securities-related regulatory and/or complex litigation... experience - Minimum of 5 years working for a regulatory entity, member firm, or law firm with direct involvement in se...
President & Associate General Counsel, Capital Markets Policy - $175,600 to $345,700 (Remove contact information, replace company name with organization, replace firm name with organization, replace department name with department) H1: Vice President & Associate General Counsel, Capital Markets Policy - Apply...
in Regulatory Initiatives Bold headline: FINRA is seeking an experienced Assistant General Counsel to provide senior-level legal advice and support in regulatory initiatives. FINRA (Financial Industry Regulatory Authority) is a non-governmental organization that regulates the securities industry i...
General Counsel, Regulatory - Job Summary: - The Associate General Counsel, Regulatory is responsible for managing the adoption of new regulatory requirements and providing expert legal advice to the Board of Governors and senior management. - This position requires a law degree,...
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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 The Director of Regulatory Services Management (RSM) is responsible for managing key operations and reporting functions for RSM, including acting as a centralized resource for Regulatory Operations (RegOps) concerning Cross Market Regulatory Working...