Save your search progress and never miss an update
2021 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Title: Sr Vice President, Corporate Financing & Advertising Regulation Job Requisition ID: R-007616 Organization: FINRA Location:...
Information: The salary for this position ranges from $75,000 to $125,000 per year, depending on experience and qualifications. The organization also offers a comprehensive benefits package including health, dental, vision, and retirement benefits. Job Title: General Counsel Organization: A...
Analyst, Public Offerings The candidate analyzes complex and high-profile public offering transactions. Reviews and investigates proposed public offering underwriting arrangements to ensure compliance with the organization and SEC rules as well as other securities laws. Ensures underwriting compensation is adequately...
is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...
Principal Investigator, NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal...
Text: The Public Company Accounting Oversight Board (PCAOB) is currently seeking legal interns for Fall 2024. This part-time position offers a competitive hourly rate based on education level and qualifications, with the option to work remotely from anywhere within...
Investigator, FINOP-NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and...
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...