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H1: Senior Analyst, Public Offerings - Remote Position H2: Essential Job Functions Organization: FINRA Department: Corporate Financing Public Offerings Job Title: Senior Analyst Job Type: Full Time, Remote Posted: 4 Days Ago Job Requisition ID: R-007644 Salary Information: - California: Minimum of $78,900, Maximum Salary $146,900 - Washington, DC: Minimum Salary $78,900, Maximum Salary $140,800 - Colorado/Hawaii: Minimum Salary $68,500, Maximum Salary $122,30
Enforcement Director 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 outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Monitor the aging and progress of cases to ensure that matters are resol
H1: Director, Enforcement - Manage Team of Attorneys and Cases for FINRA H2: Essential Job Functions and Responsibilities Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Director, Enforcement Job Type: Full-Time Experience Required: Minimum 7 years of regulatory and/or litigation experience in the securities industry Location: Multiple locations in the United States Salary Range: $127,300 - $296,100 (varies by location and experience) Over
The Director of Enforcement is a key leadership role within the organization, responsible for managing a team of 5-8 Enforcement attorneys and overseeing the development and resolution of Enforcement cases. This position requires a law degree and a minimum of seven years of experience in securities-related regulatory and/or complex litigation, with at least five years spent working for a regulatory entity, member firm, or law firm. The Director is responsible for ensuring tha
Paralegal, Enforcement: Supporting Legal Investigations and Operations Salary Range: Not specified Job Description: - Provide legal research and support to staff attorneys - Assist with preparation of exhibits and sharing of exhibits for testimony - Conduct customer interviews and prepare memorandums - Assist investigators with tasks such as data entry and maintaining case management system - Review and summarize transcripts - Review documents for the Office of Disciplinary
About FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed...
About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulatio...
About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulatio...
The Vice President, Corporate Financing will be a key member of the Corporate Financing and Advertising Regulation team within the Offices of the Chief Legal Officer (OCLO) at FINRA, a leading securities industry regulator. This position requires a minimum of 10 years of experience in the securities industry, including expertise in FINRA’s Corporate Financing Rules. The Vice President will be responsible for managing the Department’s regulatory review programs, policy and...
Job Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years of directly related legal experience Salary Range: $127,300 - $296,100 (depending on location and qualifications) Organization: FINRA (Financial Industry Regulatory Authority) Department: Office of General Counsel Job Type: Full-time Location: Multiple locations (Washington, DC; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL) H1: Join FINRA as an Assistant General Counsel, Regulatory! H2: Become