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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)...
R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable rules and regulations, and financial crimes. The Director develops and supervises specialists regulatory programs and work products related to the routine and special examinations/inv...
Friendly Job Title: Principal Investigator, Specialist Team - All FINRA Locations H1 Heading: Join the FINRA Team as a Principal Investigator H2 Heading: Conduct High Complexity Investigations and Lead Others Organization: FINRA Department: Member Supervision...
Friendly Job Title: Principal Analyst, Regulatory Services Management H1: Join FINRA as a Principal Analyst in Regulatory Services Management H2: Work in a Senior-Level Professional Role with the Regulatory Services Management Team Bold Headlines: - Senior-Level Professional Role...
Principal Analyst, Risk Monitoring - Any FINRA Location #H2: Conduct Risk Monitoring Activities for FINRA Members Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst, Risk Monitoring Job Type: Full-Time FINRA, the Financial Industry Regulatory Authority, is currently...
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...
Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst Experience: Senior-level Job Type: Full-Time Salary: Based on location and factors such as experience and education, ranging from...
Title: Associate Principal Analyst, Risk Monitoring Organization: FINRA - Financial Industry Regulatory Authority Location: Any FINRA Location (CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, WA) Salary Range: $79,500 - $170,900 (depending on...
is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other...
Title: Assistant General Counsel, Regulatory (Remote/Hybrid) Organization: FINRA (Financial Industry Regulatory Authority) Experience: Minimum 6-8 years of directly related legal experience Salary Range: - California: $146,200 - $296,100 - Colorado/Hawaii/Minnesota/Vermont: $127,300 - $246,600 - Illinois: $139,800 - $271,400 - Jersey...