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are seeking an experienced Associate Chief Counsel to join our team at the PCAOB. As a nonprofit organization established by Congress, we oversee the audits of public companies and SEC-registered brokers and dealers to protect investors and further the public...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 The Senior Director within FINRA’s Special Investigations Unit (SIU) oversees the anti-money laundering (AML) and anti-fraud investigative functions, leading a team of highly skilled AML and...
Litigation Counsel, Enforcement - Any FINRA Location Job Type: Full-Time Job Location: Various locations, including Washington, DC; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Woodbridge, NJ; San Francisco, CA; Rockville, MD; Philadelphia, PA;...
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...
Principal Investigator, Specialist Team position at FINRA is a highly specialized role that requires an expert level of knowledge and experience in conducting investigations of FINRA member firms and registered representatives. This position is responsible for proactively surveilling the industry...
Designer - Create and Deliver Training for Financial Industry Regulatory Authority FINRA is a not-for-profit entity that operates under the oversight of the SEC and has a mission of investor protection and market integrity. They are currently seeking an...
Risk Monitoring - Capital Markets - Any FINRA Location Full Time Posted 2 Days Ago Job Requisition ID: R-008111 The Organization is seeking a Director, Risk Monitoring to oversee the implementation and completion of the Risk...
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PCAOB is a registered trademark of the **MEMBERS ONLY**SIGN UP NOW***. Fall 2024 Legal Intern at PCAOB: Protect Investors & Drive Audit Quality Part-Time Salary: $23-$36/hour H1: Fall 2024 Legal Intern at PCAOB: Protect Investors...
Litigation Counsel, Enforcement - Any FINRA Location Salary Information: - Minimum salary ranges from $127,300 to $152,700, depending on location. - Maximum salary ranges from $246,600 to $296,100, depending on location. - Actual compensation is based on various...