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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,...
Counsel, Enforcement (Salary: Competitive) The Principal Counsel, Enforcement position at FINRA is a full-time role that requires a minimum of seven years of relevant legal experience in the financial regulatory space. The successful candidate will be responsible for performing...
preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with investigative tasks such as entering data and updating and maintaining... document files. Review and synopsize transcripts. Assist with preparing for he...
preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with investigative tasks such as entering data and updating and maintaining... document files. Review and synopsize transcripts. Assist with preparing for he...
Director, Special Investigations Unit - Any Finra Location Full-time position Job Requisition ID: R-007744 FINRA (Financial Industry Regulatory Authority) is seeking a Senior Director for their Special Investigations Unit (SIU) to oversee anti-money laundering (AML) and anti-fraud...
Summary: - Job title: Principal Analyst, Regulatory Services Management - Organization: FINRA's Department of Market Regulation and Transparency Services - Location: Various locations (see below for salary information) - Education and experience requirements: Bachelor's degree and 8 years of...
NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and external systems. Provides an advanced level of in-depth data analysis for NCP investigations... with respect to conducting reviews and subsequently 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...
subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and external systems. Provides an advanced level of in-depth data analysis for NCP investigations... with respect to conducting reviews and subsequently providing a h...
500 words, maximum 3000 words Job Title: Principal Analyst, Dispute Resolution Services Training Organization: FINRA Department: Dispute Resolution Services Salary Information: California: Minimum Salary $106,400, Maximum Salary $200,200 Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800 Colorado/Hawaii:...