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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...
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...
Job Title: Principal Analyst, Risk Monitoring - Any Finra Location Experience: Senior-level position Salary: Depends on location, skill set, experience, and education Department: Risk Monitoring Organization: FINRA Type: Full-time Location: Any FINRA location Job Requisition ID: R-008120 Posted On:...
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...
Principal Analyst, Risk Monitoring - Any FINRA Location H2: Job Overview Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst Time Type: Full-Time Job Requisition ID: R-008249 Date Posted: Posted Today Salary...
Senior Paralegal, Oversight Liaison and Counsel at Organization H2: Full-Time Position with Competitive Salary and Benefits Organization is seeking a Senior Paralegal to provide support to the Office of Oversight Liaison and Counsel (OLC) attorneys and senior management. This...
a Strategic Advisor in Market Regulation & Transparency Services, you will play a critical role in providing leadership and strategic support to the head of Strategic Regulatory Engagement. This full-time position (posted today) requires a minimum of 10 years of...
Title: Principal Analyst, Risk Monitoring Organization: FINRA Location: Any FINRA Location Salary Range: $92,500 - $200,200 (Based on location and qualifications) Experience: Bachelor's degree in Finance, Accounting, Business or related field(s), or equivalent combination of education...
Enforcement - Oversee a team of 5-8 attorneys handling Enforcement cases from start to finish, ensuring accurate and timely resolution. Salary Information: Varies based on location, experience, and qualifications. See below for details. Job Title: Director, Enforcement Experience: Minimum 7...
Vice President, Regulatory Liaison - All FINRA Locations Salary: $175,600 - $345,700 Experience: Significant securities, compliance or financial regulatory experience Organization: FINRA Department: Office of Regulatory Liaison (ORL) Responsibilities: - Lead and strengthen the Office...