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Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate... with the Vice President, Broker-Dealer/Investment Adviser Group, to develop... in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. Provide high quality and timely legal and advisory...
Principal Counsel, Enforcement - $150,000-$200,000/year - Full Time - R-007990 H2: Join Our Team as an Enforcement Principal Counsel with FINRA! Are you a skilled and experienced attorney looking for a challenging and rewarding career opportunity? Look no...
Senior Employee Relations Manager **Organization** is seeking a Senior Employee Relations Manager to join its People Solutions Department. The Senior Employee Relations Manager will be responsible for conducting investigations into employee complaints and allegations of misconduct, identifying risks, providing...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
Investigator, Specialist Team - All FINRA Locations Full time The Principal Investigator, Specialist Teams is responsible for conducting high complexity routine and special investigations of FINRA member firms. This includes investigating potentially suspicious activities of persons associated with...
Analyst, Public Offerings - Remote Organization: FINRA Department: Corporate Financing Public Offerings Job Requisition ID: R-008056 Job Type: Full Time Location: Remote (Rockville, MD) Salary Range: $68,500 - $146,900 (based on location and experience)...
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Job Title: Principal Analyst, Risk Monitoring - Any Finra Location Experience: Senior-level position Salary: Depends on location, skill set, experience, and education Department: Risk Monitoring Organization: FINRA Type: Full-time Location: Any FINRA location Job Requisition ID: R-008120 Posted On:...
# Associate General Counsel, Broker-Dealer/Investment Advisor Group ##... to work in the Broker-Dealer/Investment Adviser Group. The position... with the Vice President, Broker-Dealer/Investment Adviser Group, to develop... respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment adviser...
Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate... with the Vice President, Broker-Dealer/Investment Adviser Group, to develop... in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. Provide high quality and timely legal and advisory...