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General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Director, Special Investigations Unit - Any FINRA Location Full-time FINRA Careers Job Requisition ID: R-007744 The Senior Director within FINRA’s Special Investigations Unit (SIU) is responsible for overseeing the anti-money laundering (AML) and anti-fraud investigative functions....
Litigation Counsel, Enforcement - Any FINRA Location Experience: Minimum of 10 years of litigation experience Salary Information: - California: Minimum Salary $146,200, Maximum Salary $296,100 - Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800 - Colorado/Hawaii: Minimum Salary $127,300,...
Become a Principal Counsel in Enforcement at FINRA H2: Lead and Advocate for Fair and Effective Outcomes in Enforcement Matters BOLD HEADLINES: - Join the Team at FINRA as a Principal Counsel in Enforcement - Use Your Legal Expertise to Advance Investigations and Develop...
friendly job title: Senior Litigation Counsel, Enforcement - Any FINRA Location H1: Senior Litigation Counsel, Enforcement - Any FINRA Location H2: Essential Job Functions Organization: FINRA (Financial Industry Regulatory Authority) Job Requisition ID: R-008012 Salary...