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Job Title: Assistant General Counsel, Regulatory - Full Time H1:... as an Assistant General Counsel in our Regulatory Group! H2:... as an Assistant General Counsel, Regulatory Bold Headlines: - Work for... FINRA as Assistant General Counsel - Essential Job Functions and... Responsibilities - Education and Experience...
Associate 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...
2021 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Sr Vice President, Corp Financing & Advertising Regulation - The Sr Vice President of Corporate Financing and Advertising Regulation is...
Senior Director, Special Investigations Unit - Any FINRA Location H2: Leadership Position in AML and Anti-Fraud Investigations Organization: FINRA Department: Special Investigations Unit (SIU) Job Type: Full-time Salary: Minimum $149,600 - Maximum $351,200 (depending on location and qualifications) Experience:...
Senior Litigation Counsel, Enforcement - Any **MEMBERS ONLY**SIGN UP NOW***... compensation is based on various factors, including candidate's skill set, experience, education, and internal peer compensation comparisons. Job Title: Senior Litigation Counsel Experience Requirements: ... - Minimum of 10 yea...
H1: Principal Counsel, Enforcement - Competitive Salary... and Benefits H2: Join Our Team at FINRA - Apply Today! Summary: FINRA, a leading financial regulatory organization, is seeking a highly experienced Principal Counsel to join their Enforcement... team. The successful candidate will be responsible...
Associate 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...
abides by the requirements of 29 CFR 5134. This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities....
Summary: - Legal Counsel (Hybrid) position at A... Nonprofit Organization in New York or London - Minimum 10 years of experience in funds formation and/or transactional law - Must have experience managing legal projects with various stakeholders - Must have...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 The Senior Director within FINRA’s Special Investigations Unit (SIU) oversees the anti-money laundering (AML) and anti-fraud investigative functions, leading a team of highly skilled AML and...