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Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). Essential Job Functions: Represent FINRA in a first...
Senior Director and RSA Advisor (“Senior Director”) will provide expert legal and policy advice to the Enforcement Department on all aspects pertaining to Enforcement’s contractual services on behalf of the RSA Exchanges. The Senior Director understands each RSA Exchange’s rules,...
obligations under federal, state, and local laws, threatened or pending legal... claims or litigation, agency investigations, internal investigations, personnel matters, and company policies, processes, and procedures. This is senior–level legal work in which the incumbent is responsible for risk m...
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,...
Job Functions: Independently leads and/or participates in investigations of medium to high and high complexity matters under limited supervision. Conducts examination tasks that may include, but is not limited to: (1) reviews conducted in collaboration with Member...
Investigator, VAST - All FINRA Locations locations Boca Raton, FL (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job...
Investigator, Vulnerable Adults and Seniors Team (VAST) - All FINRA Locations - Conduct complex risk-based investigations of FINRA member firms and registered representatives involving potential Elder Financial Exploitation (EFE) - Provide consultation services to FINRA staff and collaborate with...
Intelligence Specialist, FIU - All FINRA Locations The Principal Intelligence Specialist is responsible for collecting, analyzing, and distributing intelligence to proactively identify risks and potential threats to investors and the market. They work within the Financial Intelligence Unit (FIU)...
Intelligence Specialist, FIU - All FINRA Locations Salary Range: CA: Minimum Salary $106,400, Maximum Salary $200,200 CO/HI/MN/VT*: Minimum Salary $92,500, Maximum Salary $166,800 IL*: Minimum Salary $101,800, Maximum Salary $183,900 Jersey City, NJ/NY, NY:...
Intelligence Specialist, FIU - All FINRA Locations Salary Information: - Minimum salary range: $92,500 - $106,400, depending on location - Maximum salary range: $166,800 - $200,200, depending on location - Additional bonuses and benefits available, such as overtime pay...