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Attorneys — Capital Markets and Securities — Pennsylvania and New Jersey **MEMBERS ONLY**SIGN UP NOW***. represents publicly traded and private companies in the complete range of corporate and securities matters, including public offerings, follow-on-equity offerings, private placements and private investment...
Counsel, Enforcement - Join FINRA and Make a Difference... Principal Counsel, Enforcement - Organization: FINRA - Location: Multiple locations (see... job posting) - Time type: Full time - Job requisition ID: R-007990 - Education/Experience: Minimum of 7 years relevant legal experience in financial regulatory space...
years of legal experience Organization: FINRA (Financial Industry Regulatory Authority) Location:... Various locations (CA, Washington DC, CO, HI, New York, NY, WA, MD) Full Time: Yes Job Requisition ID: R-008031 Purpose and Meaning: - Work for a not-for-profit entity that operates under the oversight of the...
Counsel, Enforcement - Any FINRA Location Job Title:... Senior Litigation Counsel, Enforcement Salary Range: Minimum salary $127,300 - Maximum salary $296,100 (based on location and qualifications) Experience: Minimum of 10 years of litigation experience Job Description: The...
Risk Monitoring department at **MEMBERS ONLY**SIGN UP NOW***. This role is responsible... for overseeing a team of Risk Monitoring Analysts and ensuring the successful implementation and completion of the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping. The Director will also...
Services Management Organization: FINRA Job Type: Full-time... Date Posted: Posted Today Job Requisition ID: R-008101 Location: Multiple locations (see below for salary information) Overview: The Principal Analyst in the Regulatory Services Management team...
FINRA strives to make our... note that this number is exclusively for inquiries regarding application accommodations. In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and... vesting in a 401(k...
Risk Monitoring - Any FINRA Location H2: Senior-Level Position... for Advancement Organization: FINRA Job Title: Principal Analyst,... activities and assessments for FINRA members under the guidance... of a Risk Monitoring Director. - Collaborates with internal departments to analyze and...
Analyst, Public Offerings at FINRA is responsible for analyzing... investigate proposed public offering underwriting arrangements to ensure compliance with FINRA and SEC rules. They... will also conduct independent investigations and develop cases related to potential violations. This is an intermed...
FINRA abides by the requirements... of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race,...