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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,...
Counsel, Enforcement - Any FINRA Location The Senior... is responsible for representing FINRA in complex disciplinary proceedings... and appeals. They will also provide guidance and advice on issues related to statutory disqualification, member application denials, and waiver/exemption requests. This...
Summary: Organization: FINRA (Financial Industry Regulatory Authority)... and Meaning: - FINRA operates under the oversight... of the SEC and is a not-for-profit entity with a mission of investor protection and market integrity. - The organization is hiring an...
and Analytics position within FINRA's Cyber and Analytics Unit... (CAU) - Responsible for overseeing cyber-enabled fraud investigations and conducting threat identification analysis using data analytics - Supervises a team of highly skilled specialists and develops strategies to accomplish department objectives...
Investigations Unit - Any FINRA Location Full Time... R-007744 Overview: - Senior leadership position within FINRA’s Special Investigations Unit (SIU) - Oversees anti-money laundering (AML) and anti-fraud investigative functions - Leads specialist AML Investigations teams and...
Counsel, Enforcement - Any FINRA Location Full Time... Senior Litigation Counsel represents FINRA in complex disciplinary and... non-disciplinary proceedings nationwide. - They also handle appeals before the National Adjudicatory Council and provide guidance to other departments on legal issues....
Principal Counsel, Enforcement Organization: FINRA (Financial Industry Regulatory Authority)... Location: Multiple locations (Rockville, MD, Jersey City, NJ, Jericho, NY, Denver, CO, Dallas, TX, Chicago, IL, Boston, MA, Boca Raton, FL, Woodbridge, NJ, Washington, DC, San Francisco, CA, Philadelphia, PA, New...
Capital Markets - Any Finra Location The Director... of Risk Monitoring will oversee the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping. They will actively supervise the activities of Risk Monitoring Analysts...
The FINRA organization is looking for... an experienced Investigative Director to join their team in various locations. This full-time position will oversee the examinations and investigations of broker-dealers' compliance with applicable rules and regulations, as well as financial crimes. The...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...