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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...
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,...
Investigations Unit - Any FINRA Location Full Time... and collaborating with other FINRA components to mitigate priority... threats. This senior level position will supervise a team of highly skilled AML and fraud specialists and develop and execute a strategy...
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...
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...