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high complexity routine and special investigations of member firms;... investigates potentially suspicious activities of persons associated with member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles the industry and identifies fraudulent conduct...
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Principal Investigator, NCP - Any Finra Location - Full-time position with FINRA’s National Cause Program (NCP) - Responsible for conducting investigations of potential fraud and misconduct - Conducts extensive background searches of FINRA member firms and registered representatives -...
Analyst, Risk Monitoring, Trading and Execution The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Report to a Risk Monitoring Director and supports both that direct manager in identifying existing...
Investigator, NCP - Investigating Fraud and Misconduct at FINRA" #H1: Principal Investigator, NCP - Investigating Fraud and Misconduct at FINRA #H2: Join Our Team as a Principal Investigator at FINRA for Investigating Fraud and Misconduct Organization: FINRA (Financial...
Litigation Cases - Provide Guidance and Advice on Statutory Disqualification and Member Application Issues - Conduct Legal Research and Draft Advocacy Documents - Collaborate with Various Departments Across FINRA - Work on Special Projects as Assigned ... Salary Information:...
friendly job title: Assistant General Counsel, Regulatory - Full Time H1 heading: Join FINRA as an Assistant General Counsel, Regulatory H2 heading: Senior-Level Legal Role with Purpose and Meaning Bold headlines: - Are you looking for meaningful...
Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...
Friendly Job Title: Director, Risk Monitoring - Capital Markets H1 Heading: Join FINRA as a Director of Risk Monitoring in Capital Markets H2 Heading: Lead a Team of Risk Monitoring Analysts and Oversee Risk Assessments for a Portfolio...
Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...