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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...
- Senior Director, Cyber-Enabled Fraud and Analytics position within FINRA's Cyber and Analytics Unit (CAU) - Responsible for overseeing cyber-enabled fraud investigations and conducting threat identification analysis using data analytics - Supervises a team of highly skilled specialists and...
Assistant 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...
Senior Director, Special Investigations Unit - Any... leadership position within FINRA’s Special Investigations Unit (SIU) -... Oversees anti-money laundering (AML) and anti-fraud investigative functions - Leads specialist AML Investigations teams and Anti-Fraud Investigations (AFI) team - Conducts investigations and examinations,...
SUMMARY: Senior Litigation Counsel, Enforcement - Any **MEMBERS ONLY**SIGN UP NOW***... The Senior Litigation Counsel, Enforcement is responsible for... representing FINRA in complex disciplinary proceedings and appeals. They will also provide guidance and advice on issues related to statutory disqualification, member...
Job Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8... years of legal experience required Salary: Based on location and experience, ranging from $127,300 to $296,100 Job Type: Full-time Purpose and Meaning: - FINRA operates under the oversight of...