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Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting)...
risks and potential threats to investors and the market. You will lead projects and analyze data to... create intelligence assessments and other products, working collaboratively with stakeholders to mitigate risk and strengthen controls. We are seeking a highly skilled individua...
TITLE: Paralegal, Enforcement DEPARTMENT: Enforcement ORGANIZATION: FINRA SALARY: Based on experience EXPERIENCE: Bachelor’s degree and/or paralegal certificate or significant relevant experience H1: Join FINRA as a Paralegal in the Enforcement Department! H2: Investigative and...
FINRA FINRA is a non-governmental organization that regulates the securities industry. FINRA protects investors by making sure the securities industry operates fairly and honestly. FINRA oversees about 3,600 brokerage firms, about 160,000 branch offices and approximately 630,000 registered securities...
Investigator, National Cause Program - All FINRA Locations: Full-Time Opportunity with FINRA R-008443 Job Requisition ID Overview: FINRA's National Cause Program (NCP) is seeking a highly skilled and experienced Principal Investigator to join their team. The...
Friendly Job Title: Principal Investigator - Vulnerable Adults and Seniors Team (VAST) - FINRA's National Cause and Financial Crimes Program (NCFC) H1 Heading: Join FINRA's VAST Team as a Principal Investigator! H2 Heading: Investigate Financial Exploitation and Abuse...
Principal Investigator, VAST - All FINRA Locations H2: Investigate Financial Exploitation and Abuse of Seniors and Vulnerable Adults Organization: FINRA Department: Vulnerable Adults and Seniors Team (VAST) Job Title: Principal Investigator Job Requisition ID: R-008669 Time Type: Full time...
Senior Director, Risk Monitoring will serve as the single point of accountability for the risk assessment, planning and execution of examinations for firms within a specific Firm Group or Sub-Group. This role is responsible for providing strategic leadership and ensuring...
Director, Investigations - All FINRA Locations Job Title: Senior Director, Investigations - All FINRA Locations Experience: Significant securities, compliance or financial regulatory experience Salary Information: Salary ranges based on location and individual qualifications Organization: FINRA (Financial Industry Regulatory Authority)...
disability, or status as a Vietnam era or special disabled veteran or any... other protected status under applicable federal, state and local laws, regulations and ordinances. FINRA abides by the requirements of 41 CFR ). This regulation prohibits discrimination agains...