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abides by the requirements of 29 CFR 513. This regulation prohibits discrimination against qualified individuals on the basis of age, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals on the...
Litigation Counsel, Enforcement - Any FINRA Location • Full-time position with minimal supervision • Litigate nationwide non-disciplinary and disciplinary proceedings • Represent FINRA in complex disciplinary proceedings and appeals • Provide guidance on statutory disqualification, member application denials, and waiver/exemption...
Role: - Assistant General Counsel, Regulatory - Full... time - Job Requisition ID: R-008031 Organization: - FINRA (Financial Industry Regulatory Authority) Overview: - FINRA is a not-for-profit entity operating under the oversight of the SEC....
Director, MAP The candidate reports directly to the Vice President, Membership Application Program & Statutory Disqualification. Senior leaders responsible for the management and assessment of firm group membership applications and materiality consultations. Leads and implements the strategic direction of the...
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:...
Risk Monitoring - Capital Markets - Any FINRA Location Full-time Posted 2 Days Ago Job Requisition ID: R-008111 To ensure the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping...