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Associate General Counsel, Broker-Dealer/Investment Advisor Group... The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering...
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...
Vice President, Corporate Financing - Lead the... Corporate Financing Department within the... NY Full-time position with competitive salary and benefits Overview: The Vice President, Corporate Financing Department is a... key member of the Corporate Financing and Advertising Regulation......
The Senior Analyst in Corporate Financing Public Offerings at... FINRA is responsible for analyzing complex and high-profile public offering transactions. This is an intermediate-level professional role that requires a Bachelor's degree and at least three years of related industry experience,...
Member Supervision Strategic Engagements & Publications - Any FINRA Location Full time posted on Posted Today job requisition id R-008594 The Director, Strategic Engagements & Publications, is responsible for supporting the Office of...