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Role: - Assistant General Counsel, Regulatory - Full time - Job Requisition ID: R-008031 Organization: - FINRA (Financial Industry Regulatory Authority) Overview: - FINRA is a not-for-profit entity operating under the oversight of the SEC....
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...
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,...
Enforcement The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
Enforcement The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
General Counsel, Litigation The candidate performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal representation to the organization's companies, officers and employees in connection with civil, criminal and administrative proceedings. Responsible for risk mitigation...
Director, Special Investigations Unit - Any Finra Location Full-time position Job Requisition ID: R-007744 FINRA (Financial Industry Regulatory Authority) is seeking a Senior Director for their Special Investigations Unit (SIU) to oversee anti-money laundering (AML) and anti-fraud...
abides by the requirements of 29 CFR 513. This regulation prohibits discrimination against qualified individuals on the basis of age, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals on the...
Litigation Counsel, Enforcement - Any FINRA Location • Full-time position with minimal supervision • Litigate nationwide non-disciplinary and disciplinary proceedings • Represent FINRA in complex disciplinary proceedings and appeals • Provide guidance on statutory disqualification, member application denials, and waiver/exemption...
Counsel, Enforcement (Salary: Competitive) The Principal Counsel, Enforcement position at FINRA is a full-time role that requires a minimum of seven years of relevant legal experience in the financial regulatory space. The successful candidate will be responsible for performing...