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FINRA abides by the requirements... in employment qualified individuals on the basis of age. FINRA is a government agency... that regulates the securities industry, and therefore, is subject to certain governmental oversight and reporting requirements. In accordance with th...
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 position... Requisition ID: R-007744 FINRA (Financial Industry Regulatory Authority)... is seeking a Senior Director for their Special Investigations Unit (SIU) to oversee anti-money laundering (AML) and anti-fraud investigations. This senior level...
Counsel, Enforcement - Any FINRA Location • Full-time position... disciplinary proceedings • Represent FINRA in complex disciplinary proceedings... and appeals • Provide guidance on statutory disqualification, member application denials, and waiver/exemption requests • Draft and review legal documents, conduct witness...
Counsel, Enforcement position at FINRA is a full-time role... be responsible for performing rigorous assessments and effective advocacy in Enforcement matters. They will also collaborate with other FINRA departments and prioritize matters... based on risk. This role offers a competi...
Counsel, Enforcement - Any FINRA Location H2: Represent **MEMBERS ONLY**SIGN UP NOW***... in Complex Securities Litigation... BOLD HEADLINE: Join FINRA as a Senior Litigation... non-disciplinary proceedings - Represent FINRA in complex cases involving... federal securities laws and SRO rules - Argue appeals...
Organization: - FINRA (Financial Industry Regulatory Authority)... Overview: - FINRA is a not-for-profit entity... operating under the oversight of the SEC. - Our mission is investor protection and market integrity. - We sit at the nexus...
The Organization (FINRA) FINRA is a... in the United States. FINRA, overseen by the SEC,... and enforces compliance with FINRA rules and federal securities... laws, registers broker-dealer personnel and offers them education and training, and informs the investing publ...
Resolution Services Training Organization: FINRA Department: Dispute Resolution Services... Salary Information: California: Minimum Salary $106,400, Maximum Salary $200,200 Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800 Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800 New York, NY: Minimum Salary...
Specialist Team - All FINRA Locations H1: Join... a Principal Investigator for FINRA H2: Conduct High... Securities Industry Organization: FINRA (Financial Industry Regulatory Authority)... Department: Member Supervision Full-Time Position Job Requisition ID: R-008048...