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New York, NY, United States of America 2 Maryland, United States of America 3 National, United States of America 4 NYC/Long Island/Westchester, United States of America 5 United States of America SEO Friendly Job Title:...
Compliance Analyst The candidate will assist in maintaining the company's Compliance Program. Provide regulatory interpretation, perform compliance reporting, lead special projects, and develop and implement compliance auditing and monitoring strategies. Respond to external requests for information required by the organization...
Compliance Analyst The candidate will assist in maintaining the company's Compliance Program. Provide regulatory interpretation, perform compliance reporting, lead special projects, and develop and implement compliance auditing and monitoring strategies. Respond to external requests for information required by the organization...
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...
abides by the requirements of 29 CFR 51304(c). This regulation prohibits discrimination against qualified individuals on the basis of race, color, religion, sex, age, national origin, sexual orientation, gender identity, marital status, disability, genetic information or status as a member...
FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public trust. FINRA employs a diverse workforce and...
is an Equal Opportunity and Affirmative Action Employer Enforcement Principal Counsel - Job Description Location: Various Locations Organization: FINRA Department: Enforcement Employment Type: Full Time Overview: FINRA, the Financial Industry Regulatory Authority, is seeking a...
points: - Title: Senior Litigation Counsel, Enforcement - Locations: Washington, DC; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Woodbridge, NJ; San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; Los...
Regulatory Services Management - Full Time H1: Apply for Director, Regulatory Services Management at FINRA H2: Join Our Team and Make a Difference! Are you looking for a challenging and rewarding career in the financial industry? FINRA, the...
President, Corporate Financing Department - Salary Information Salary Range: $175,600 - $345,700 Job Title: Vice President, Corporate Financing Experience: Minimum of 10 years in the securities industry with experience in FINRA's Corporate Financing Rules Organization: **MEMBERS ONLY**SIGN UP NOW***...