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registered trademark of the Financial Industry Regulatory Authority, Inc.... Sr Vice President, Corp Financing & Advertising Regulation - The Sr Vice President of Corporate Financing and Advertising Regulation is a key member of the Office of the...
Title: Principal Analyst, Regulatory Services Management H1 Heading:... Principal Analyst in Regulatory Services Management H2 Heading:... Market Regulation and Transparency Services Bold Headlines: -... professional work in Regulatory Services Management - Perform a... reports - Support for Regulatory Service...
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...
Litigation Counsel, Enforcement - Any FINRA Location Salary Information: - Minimum salary ranges from $127,300 to $152,700, depending on location. - Maximum salary ranges from $246,600 to $296,100, depending on location. - Actual compensation is based on various...
Instructional Designer Organization: FINRA (Financial Industry Regulatory Authority) Employment... Type: Full-time Location: Multiple locations (Chicago, IL; Jersey City, NJ; Boca Raton, FL; Washington, DC; Rockville, MD; New York, NY; Los Angeles, CA) About the Organization: FINRA is a not-for-profit...
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...
FINRA Department: Special Investigations Unit (SIU) Job Type: Full-time Salary: Minimum $149,600 - Maximum $351,200 (depending on location and qualifications) Experience: Significant securities, compliance, or financial regulatory experience Job... Summary: The Senior Director within FINRA’s Special Investigations Unit (SIU)...
Program. They will gather regulatory intelligence, compile and analyze... records, and conduct interviews of relevant parties. The ideal candidate will have an advanced understanding of FINRA rules and federal securities laws, as well as strong written and verbal communication skills....
Apply Today! Summary: FINRA, a leading financial regulatory organization, is seeking... a highly experienced Principal Counsel to join their Enforcement team. The successful candidate will be responsible for conducting rigorous assessments and advocating for fair outcomes in enforcement matters. This full-time position...