team The Chief Securities Disclosure Attorney will be... part of the Corebridge Financial Legal, Compliance, Regulatory and Government Affairs department which is comprised of attorneys and other professionals providing high quality advisory and transactional support with integrity and objectivity...
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,...
Analyst, MS Operations, Procedures and Standards - FINRA Locations Summary: FINRA is seeking a Principal Analyst for their Member Supervision Operations, Procedures and Standards team. This position will be responsible for identifying, assessing, developing, implementing, and maintaining operations,...
Principal Investigator, NCP - IRG - Any Finra Location Apply Logo locations Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting)...
Advisor, Member Supervision - All FINRA Locations Apply Logo Strategic Advisor, Member Supervision - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job...
Operations, Procedures and Standards - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type...
Enforcement Apply time type Full time posted on Posted Today job requisition id R-008956 The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from...
MS OPS - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008908 The Director will provide strategic leadership and guidance and establishes procedures...
an Associate Principal Risk Monitoring Analyst at FINRA, you will play a critical role in identifying and assessing risks within FINRA member firms. This is a mid-level position with opportunities for growth and development, reporting to a Risk Monitoring Director....
Lead Principal Analyst, Fixed Income Regulation Salary Range: $111,400 - $242,600 Organization: FINRA Department: Fixed Income Regulation Location: New York, NY; Jersey City, NJ; Jericho, NY; Woodbridge, NJ Time Type: Full time Job Requisition...
Senior Director, Financial Intelligence Fusion Center, Member Supervision - Any FINRA Location H2: Essential Job Functions: - Lead a team of Senior Analysts responsible for intelligence gathering and dissemination, providing critical leadership and guidance - Establish internal policies and...
Cause Program. Experience and Education Requirements: - Bachelor's degree or equivalent experience, advanced degree or law degree preferred. - Advanced knowledge of FINRA rules and federal securities laws. - Strong understanding of... securities markets and member firm... operations. - Excellent written and verbal communication sk...
Analyst, Dispute Resolution The organization is seeking a Principal Analyst to join their team and support their Dispute Resolution program. This role will involve developing and implementing policies for the arbitration program, advising on case administration issues, and serving...
- IRG Associate Principal Investigator: Conducts intake and assessment of regulatory intelligence with minimal supervision and makes recommendations for appropriate regulatory response. Salary: Minimum salary ranges from $95,300 to $109,600 and maximum salary ranges from $171,800 to $206,200 depending...
Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Investigator, High Risk Representatives - All FINRA Locations Experience: Bachelor's degree or equivalent relevant experience required; advanced degree or law degree, preferred. Location: Various FINRA Locations (New York, NY; Jericho,...
Principal Analyst, Dispute Resolution - Salary Information and Job Description H2: About the Role - The Dispute Resolution Principal Analyst supports case administration and the National Arbitration program for FINRA Dispute Resolution Services (DRS). - This role involves...
MS Operations, Procedures and Standards - All FINRA Locations Job Title: Director, MS Operations, Procedures and Standards Organization: FINRA Department: Member Supervision Operations Location: Various locations across the US Job Type: Full Time Salary Range: $131,100 - $305,000...
received from various sources. The role requires a Bachelor's degree or equivalent relevant experience and a strong understanding of relevant FINRA rules and federal securities laws. The individual will... be responsible for conducting interviews, gathering background intelligence, and analyzing info...
SEO friendly job title: Principal Analyst, Risk Monitoring - Capital Markets - All FINRA Locations - H1 heading: Join FINRA as a Principal Analyst, Risk Monitoring - Capital Markets - H2 heading: Essential Job Functions - Responsible for conducting...
FINRA Locations Experience: Significant securities, compliance or financial regulatory... experience required Salary Range: $154,100 - $361,700 (depending on location and qualifications) Employment Type: Full Time Location: Various FINRA Locations (see job posting for specific locations) H1: Senior Director, Examinations...
Analyst, Risk Monitoring - FINRA Locations Job Title: Principal Analyst, Risk Monitoring Organization: FINRA Department: Risk Monitoring Location: Various locations (see below) Salary Range: $111,400 - $242,600 Experience: Bachelor's degree in related field, prior experience in FINRA's Exam and/or...
Senior Principal Analyst, MS Operations, Procedures and Standards - All FINRA Locations H2: Apply for Senior Principal Analyst Position at FINRA H2: Job Description for Senior Principal Analyst at FINRA Summary: FINRA is seeking an experienced Senior Principal Analyst to join their Member Supervision...
Friendly Job Title: Associate Principal Investigator, IRG, NCP - All FINRA Locations (Open) H1: Join the Team at FINRA as an Associate Principal Investigator! H2: Investigate Regulatory Intelligence as an Associate Principal Investigator at FINRA Bold Headline: FINRA is Hiring an Associate Principal...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director within the organization's Cyber and Analytics Unit (CAU) is responsible for leading the Cyber-Enabled Fraud (CEF) team. This role involves overseeing the planning and execution of cyber-enabled fraud investigations related...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist plays a critical role within the Financial Intelligence Unit (FIU) of the organization’s National Cause and Financial Crimes Detection Program (NCFC). The primary responsibilities include: - Partnering across the organization...
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator is responsible for conducting high complexity routine and special investigations of organization member firms and investigating potentially suspicious activities of persons associated with these firms. The role involves providing guidance to Member...
Title: Examination Director Job Responsibilities: - Manage a team of 4-6 Examination Managers and Senior Principal Examiners. - Provide input and intelligence to inform annual Examination Planning efforts. - Communicate guidance, policies, and key initiatives effectively to staff and management. - Develop talent, set clear...
Mid- to Senior-level Corporate Securities Associate The candidate will... a variety of assignments and receive valuable hands-on experience across a diverse range of disciplines, including representing public and private companies in connection with general corporate and securities laws matters, securitie...
General Counsel - Legal **MEMBERS ONLY**SIGN UP NOW***. New York Full Time Overview **MEMBERS ONLY**SIGN UP NOW***. is a global advisory-focused investment bank, providing a wide array of strategic and private fund advisory services to corporations, financial sponsors, institutional...
Type Regular Job Level VP, Assistant General Counsel, Investment Banking (Capital Markets / M&A / Structured Products) Job Code 0101 Job Summary: **MEMBERS ONLY**SIGN UP NOW***. ., a leading global financial services firm, is seeking a...
a leading fintech company that’s democratizing finance for all" SEO-friendly job title: Assistant General Counsel, Regulatory H1: **MEMBERS ONLY**SIGN UP NOW***. is hiring an Assistant General Counsel to join their growing Regulatory legal team. H2: About **MEMBERS ONLY**SIGN UP NOW***. Bold headline:...
Capital Markets: Excellent Opportunity in Boston, San Francisco, or New York H1: Join Orrick as a Paralegal in Capital Markets H2: Support the Delivery of Quality Legal Services to Clients Salary Information: - California Major Markets: $64,000 - $100,000 - New York City: $64,000 -...
Job Title Corporate Securities Associate Ref No. CLE3739... is hiring a Corporate Securities Associate with at least... three to five years of significant transactional experience to be a part of its sophisticated and highly collaborative corporate practice. This position will...
searching for a Corporate Securities Associate to join a... or Washington DC. Responsibilities: Advise clients on public and private issuances of equity and debt securities, SEC disclosure, reporting and... compliance. Handle transaction management and due dil...
is seeking a mid-level associate with three to seven years of experience for their capital markets team in either Atlanta or New York. The ideal candidate will have a strong background in securities and capital markets transactions,... including IPOs, offerings...
is an Equal Opportunity Employer. Employment decisions at Fenwick are based on merit, qualifications and abilities. Fenwick does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, age,...
Employee Status Regular Travel No Department Name Corporate Legal Department Job Industry Legal, Financial Services Company **MEMBERS ONLY**SIGN UP NOW***. Job Function Legal Job Type Corporate Paralegal H1 and H2 Headings: H1: Corporate...
are committed to a diverse and inclusive workplace, as we believe that different perspectives and experiences enrich our teams, and enables us to best serve our clients, global communities and shareholders. SEO friendly job title: Senior Vice Present, Counsel –...
Associate - Corporate - Securities Regulation & Corporate Governance... (NY) H1: Join Our Team as a Securities Regulation & Corporate Governance... Lawyer in New York H2: Seeking Experienced Lateral Associate for Corporate Law Firm in New York...
Associate General Counsel – Securities and Corporate Finance: ... - Salary range of $204,000 to $368,700, with final salary based on location, experience, and skills - 10+ years of relevant experience required, including at a law firm and in-house at...
is a leading provider of technology, communications, information and entertainment products, transforming the way we connect across the globe. With a diverse workforce of approximately 135,000 employees, Verizon serves a wide range of customers, including businesses, government agencies, and individual...
Senior Litigation Counsel, Enforcement Services H2: Represent FINRA in Complex Litigation and Appeals Summary: FINRA, a leading financial regulatory organization, is seeking a Senior Litigation Counsel to join their Enforcement Services team. The Senior Litigation Counsel will represent FINRA in complex disciplinary...
seeking an experienced Corporate Securities Attorney to join its... focuses on regulatory filings, securities compliance, and advising clients... on corporate governance matters. The position offers flexible placement across multiple . offices and the opportunity to work collaboratively in a fast-paced,...