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Litigation Counsel, Enforcement - Any FINRA Location Job Title: Senior Litigation Counsel, Enforcement Salary Range: Minimum salary $127,300 - Maximum salary $296,100 (based on location and qualifications) Experience: Minimum of 10 years of litigation experience Job Description:...
Summary: Assistant General Counsel, Regulatory Salary: $127,300 - $296,100 Job Title:... Assistant General Counsel, Regulatory Experience: 6-8 years of legal... experience Organization: FINRA (Financial Industry Regulatory Authority) Location: Various... locations (CA,... Washington DC, CO, HI, New York, NY, WA, MD) Full Time: Yes Job Requisition ID: R-008031 Purpose...
the management and assessment of firm group membership applications and materiality consultations. Leads and implements the strategic direction of the MAP program for specific firm groupings. Ensures accurate and timely assessment of membership applications and materiality consultations, leverage regulatory int...
Friendly Job Title: Senior Litigation Counsel - Enforcement H1: Join FINRA as a Senior Litigation Counsel H2: Represent FINRA in Complex Securities Cases Organization: FINRA Department: Office of Hearing Officers Experience: Minimum of 10 years...
Full Time Salary Range: $149,600 - $351,200 (varies by location and experience) Experience: Significant securities, compliance, or financial regulatory experience required ... Job Requisition ID: R-007655 Date Posted: Posted Yesterday Location: Any FINRA Location #LI-...
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...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 Overview: The Senior Director within FINRA’s Special Investigations Unit (SIU) will be responsible for overseeing the anti-money laundering (AML) and anti-fraud investigative functions. This includes...
Make a Difference in Financial Regulation H2: Overview: - Role: Principal... Job requisition ID: R-007990 - Education/Experience: Minimum of 7 years relevant legal experience in financial regulatory space preferred - Work... Conditions: Occasional work outside of business hours and overnight travel may be required...
Director of Risk Monitoring is a senior level position within the Risk Monitoring department at **MEMBERS ONLY**SIGN UP NOW***. This role is responsible for overseeing a team of Risk Monitoring Analysts and ensuring the successful implementation and completion of the Risk Monitoring Program...