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Summary: Organization: FINRA (Financial Industry Regulatory Authority) Job... Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years... of directly related legal experience Salary Information: Based on location and various factors, including skills, experience, and education Job Status: Full-time Job...
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...
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,...
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 The Senior Director within FINRA’s Special Investigations Unit (SIU) will oversee the AML and anti-fraud investigative functions, providing leadership to specialist teams and collaborating with other...
Litigation Counsel, Enforcement - Any FINRA Location The Senior Litigation Counsel, Enforcement position is a full-time role with a minimum of 10 years of litigation experience. This role involves representing FINRA in complex disciplinary proceedings and appeals, providing guidance...
• Assistant General Counsel, Regulatory • Full-time position with... FINRA (Financial Industry Regulatory Authority) •... Job Requisition... ID: R-008031 • Minimum of 6-8 years of related legal experience required • Law degree from an accredited law school and admission to...
Principal Analyst, Regulatory Services Management - Full Time... Market Regulation and Transparency Services Salary Range: $92,500... • Managing the Change Control/Request and RSA Exchange Regulatory Oversight Committee (ROC) reporting... processes. • Developing and implementing solutions to improve the effectiven...
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...