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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...
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 independent...
Vice President, Corporate Financing - Lead and... manage the Corporate Financing Department within FINRA's... Offices of the Chief Legal Officer (OCLO). This position involves developing policies, strategies, and decisions, collaborating with H1: Vice President, Corporate Financing - Lead and......
in developing and implementing capital markets policy initiatives and... counseling the Department of Market Regulation and Transparency Services. Provide expert knowledge and advice to the Board of Governors and senior management on high-impact, legally and politically complex and sensitive...
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...
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 independent...
Director, Risk Monitoring - Capital Markets - Any **MEMBERS ONLY**SIGN UP NOW***... a specific Firm Grouping or Sub-Grouping. The ideal candidate will have a strong background in the securities or financial-related industry with... experience in risk assessment and management. This is a full-time...
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 independent...
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...