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Advisor, Member Supervision The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 The Senior Director within FINRA’s Special Investigations Unit (SIU) will oversee the AML and anti-fraud investigative functions, providing leadership to specialist teams and collaborating with other...
H1: Senior Litigation Counsel, Enforcement - Any FINRA Location H2:... Essential Job Functions: - Represent FINRA in complex disciplinary and non-disciplinary proceedings - Brief and argue appeals before the National Adjudicatory Council - Provide guidance and advice on statutory disqualification and member application issues -...
H1: Principal Counsel, Enforcement - Join FINRA Today!... Role of Principal Counsel, Enforcement at FINRA Are... you a highly skilled and experienced legal professional with a background in financial regulation? Are you looking for a challenging and rewarding career...
Title: Senior Litigation Counsel, Enforcement Organization: FINRA Department: Office... Senior Litigation Counsel in Enforcement H2: Represent FINRA in... Complex Securities Cases and Make a Difference in the Financial Industry - Litigate nationwide non-disciplinary and...
Advisor, Member Supervision The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color,...
Senior Litigation Counsel, Enforcement - Any FINRA Location... Salary: - Minimum Salary: - California: $146,200 - Washington, DC: $146,200 - Colorado/Hawaii: $127,300 - New York, NY: $152,700 - Washington: $127,300 - Maximum Salary: - California: $296,100 - Washington, DC:...
H1: Principal Counsel, Enforcement - $150,000-$200,000/year - Full... Our Team as an Enforcement Principal Counsel with FINRA!... We are currently seeking a Principal Counsel, Enforcement to join our team... and contribute to our mission of promoting market integrity and prote...
Senior Litigation Counsel, Enforcement - Any FINRA Location... The Senior Litigation Counsel, Enforcement position is a full-time... role with a minimum of 10 years of litigation experience. This role involves representing FINRA in complex disciplinary proceedings and appeals, providing guidance...