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Title: Principal Analyst, Regulatory Services Management Location: Remote/Office Organization: FINRA (Financial Industry Regulatory Authority) Department: Market Regulation and Transparency Services (MRTS) Salary Range: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800...
Principal Analyst, Risk Monitoring will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. This is a senior-level position reporting to a Risk Monitoring Director and will support both that direct manager in identifying existing...
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Analyst, Risk Monitoring - Any FINRA Location The Organization: FINRA is a not-for-profit organization authorized by Congress to protect investors and ensure market integrity. They oversee the securities industry, including stockbrokers, brokerage firms, and securities exchanges. FINRA is...
Regulatory Services Management - Full Time - R-008259 FINRA is seeking a Director, Regulatory Services Management (RSM) to join our Market Regulation and Transparency Services (MRTS) team. This role will be responsible for managing key operations and reporting functions...
an Equal Opportunity and Affirmative Action Employer All... qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other...
Enforcement - Job Posting The Enforcement Director will manage a team of 5-8 Enforcement attorneys, overseeing the development and resolution of Enforcement cases from beginning to end. This role requires a strong leader with excellent communication skills and the...
Enforcement: - Responsible for managing a team of 5-8 attorneys in the Enforcement department, overseeing all stages of Enforcement cases from inception to completion. - Ensures that all factual findings are supported by accurate and well-supported evidence and are...
origin, age and disability. FINRA abides by the requirements of 29 CFR ). 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 advan...
organization is seeking an experienced Assistant General Counsel, Regulatory to join their team. The ideal candidate will have a law degree from an accredited law school, admission to a bar, and a minimum of 6-8 years of directly related legal...