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FINRA 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,...
About FINRA FINRA is a... Regulatory Authority, Inc. FINRA 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,...
Associate General Counsel, Broker-Dealer/Investment Advisor Group ## Overview Organization is looking for an Associate General Counsel to work in the Broker-Dealer/Investment Adviser Group. The position is primarily responsible for working with the Vice President, Broker-Dealer/Investment Adviser Group, to develop...
No Further! Organization: FINRA Department: Legal ... Job Type: Full Time Salary: Competitive, based on location and experience Experience: 6-8 years of litigation practice, including courtroom experience and handling pretrial matters, trials, and appeals. At least...
Organization: FINRA Job Title: Senior... Director, Special Investigations Unit Experience: Significant securities, compliance, or financial regulatory experience Salary: - California: Minimum Salary $171,900, Maximum Salary $351,200 - Washington DC: Minimum Salary $171,900, Maximum Salary $336,600 -...
Craft proposals to amend FINRA's Sanction Guidelines and communicate... complex and sensitive appellate matters to senior executives - Provide legal advice to the FINRA Board and serve as... a member of OGC's senior management team - Lead the annual pro...
Counsel, Enforcement - Any FINRA Location H2: Essential Job Functions: -... Represent FINRA in complex disciplinary and... non-disciplinary proceedings - Brief and argue appeals before the National Adjudicatory Council - Provide guidance and advice on statutory disqualification and member application issues - Draft and review...
Counsel, Enforcement - Join FINRA Today! H2: Apply for... Principal Counsel, Enforcement at FINRA Are you a... Look no further than FINRA, the leading non-governmental regulator... for all securities firms doing business in the United States. We are...
Litigation Counsel, Enforcement Organization: FINRA Department: Office of Hearing... to $296,100 Location: Any FINRA location H1: Join... the Team at FINRA as a Senior Litigation... in Enforcement H2: Represent FINRA in Complex Securities Cases... and Make a Difference in...
General Counsel, Regulatory - FINRA" H1 Heading:... Join FINRA as a Senior Assistant... Summary: Join FINRA (Financial Industry Regulatory Authority)... as a Senior Assistant General Counsel, Regulatory and make a difference in investor protection and market...