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reserved. FINRA is a registered trademark of the Financial... Industry Regulatory Authority, Inc. Director, Enforcement - Up to $296,100 per year, based on location and experience FINRA is seeking a highly skilled and experienced Director of Enforcement to...
FINRA is a registered trademark of the Financial... Industry Regulatory Authority, Inc. FINRA is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, sex, gender identity, sexual orientation, age, national...
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President, Corporate Financing - Lead and manage the Corporate Financing Department within FINRA's Offices of the Chief Legal Officer (OCLO). This position involves developing policies, strategies, and decisions, collaborating with other FINRA departments, and managing a team of staff members....
Principal Investigator, Cyber Enabled Fraud Group - All FINRA Locations Full time posted on Posted Today job requisition id R-008413 The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled...
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)...
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, color,...
and providing guidance to Member Supervision staff on complex assignments. The position also involves proactively surveilling the industry and identifying fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives. The ideal candidate... for this position w...
firm is seeking an Investment Services Associate Attorney to... will be responsible for managing multiple matters simultaneously, specializing in registered investment companies, investment advisers,... and... federal securities laws compliance. Duties:Efficiently manage multiple matters concurrently within investment servicesProvide legal guidance on... regulator...
City is seeking a Registered Funds Associate Attorney with... on matters pertaining to registered investment companies, including mutual... closed-end funds, interval funds, tender offer funds, and business development companies, as well as their... advisers and directors. This role involves collaborating...