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Principal Counsel, Enforcement - Apply Now! H2: Join FINRA as a Principal Counsel and make a difference in the financial regulatory space Organizations: FINRA (Financial Industry Regulatory Authority) Locations: - Rockville, MD - Jersey City, NJ -...
Assistant General Counsel, Regulatory - Full Time H2: Purposeful and Meaningful Work at a Leading Regulator Organization: FINRA Department: Office of General Counsel Job Title: Assistant General Counsel, Regulatory Employment Type: Full Time Job Requisition ID: R-008031 Salary Range:...
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...
Private Foundation H2 Heading: Responsibilities and Qualifications for Associate General Counsel at a Private Foundation Bold Headlines: - Legal Advice and Services for a Private Foundation - Compliance with Non-Profit Tax Laws and Regulations - Grants,... Contracts, and...
single-family mortgage loans, including but not limited to origination, underwriting, closing, servicing, foreclosure and bankruptcy. Demonstrated understanding of federal and state laws, regulations, and programmatic requirements... governing single-family mortgage loans and grants. Demonstrated understanding of federal and private mortgage insurer/guaranto...
Senior Litigation Counsel, Enforcement - FINRA Location - Apply Now H2: Join FINRA as a Senior Litigation Counsel Summary: FINRA is currently seeking a Senior Litigation Counsel to work under minimal supervision and litigate nationwide non-disciplinary and disciplinary proceedings. The role also involves...
- Job title: Legal Services Staff Attorney - Organization: **MEMBERS ONLY**SIGN UP NOW***. - Job category: CJE Community Services - Requisition number: LEGAL004535 - Location: Chicago, IL - Salary: Commensurate with experience - Full-time position - Posted: July 18, 2024...
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...
is an Equal Opportunity and Affirmative Action Employer Principal Investigator, Specialist Team - All FINRA Locations Full time Salary Information: California: Minimum Salary $106,400, Maximum Salary $200,200 Washington, DC: Minimum Salary $106,400, Maximum Salary...
Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with...