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large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...
report to the Commercial Broker Dealer Chief Compliance Officer and support three institutional FINRA registered broker dealers. This... role will provide compliance support to the Capital Markets division within the Commercial Bank of Capital One. The broker dealers being suppo...
Analyst, Risk Monitoring Organization: FINRA (Financial Industry Regulatory Authority)... to $200,200 Location: Any FINRA location (CA, WA, DC,... MD) H1: Join FINRA and Help Protect Investors... H2: Conduct Risk Monitoring and Assessments for FINRA Members in Senior-Level Role......
to any employee at FINRA without a valid written... the sole property of FINRA and no fee will... person is hired by **MEMBERS ONLY**SIGN UP NOW***. Associate Principal... Risk Monitoring - Any FINRA Location Full-time position... with a reputable organization...
About FINRA FINRA is an... in the United States. FINRA works to protect investors... the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not... influenced, by the industry that it regulates. FINRA’s independent regulation pl...
President & Associate General Counsel, Capital Markets Policy - $175,600 to $345,700 (Remove contact information, replace company name with organization, replace firm name with organization, replace department name with department) H1: Vice President & Associate General Counsel, Capital Markets Policy - Apply...
Senior Associate or Counsel (Corporate Securities) - Multiple Offices H2: Join the Growing Securities Group at Saul Ewing Saul Ewing, a leading law firm, is seeking an experienced senior associate or counsel to join our expanding securities group. This...
Director The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
law firm in Philadelphia, PA, is seeking a Senior Corporate Securities Associate Attorney or Counsel. The ideal candidate will possess over 6 years of comprehensive experience in corporate securities law, including public company regulations, securities offerings, and corporate governance. This...
Firm Seeking Experienced Senior Associate or Counsel for Corporate Securities Group Saul Ewing, a prestigious law firm, is seeking an experienced senior associate or counsel to join our expanding securities group. This is an excellent opportunity to join a...