MS OPS - All FINRA Locations Apply Logo ... time type Full time posted on Posted Today job requisition id R-008908 The Director will provide strategic leadership and guidance and establishes procedures...
About FINRA FINRA is a... Regulatory Authority, Inc. FINRA is an Equal Opportunity... Investigator, NCP - All FINRA Locations Experience: Advanced knowledge... of relevant FINRA rules and the federal... securities laws and demonstrated investigative experience. Advanced knowledge of...
Senior Paralegal, Oversight Liaison and Counsel at Organization H2: Full-Time Position with Competitive Salary and Benefits Organization is seeking a Senior Paralegal to provide support to the Office of Oversight Liaison and Counsel (OLC) attorneys and senior management. This...
Director The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
Program Administrator, OGC Regulation - Washington, DC/Rockville, MD Apply Now! The Senior Program Administrator will provide high-level administrative and programmatic support to employees and senior executives within the Office of General Counsel (OGC) Regulatory Policy, Capital Markets, and Appellate offices. This role...
- Apply Now at FINRA H2: Senior-Level Legal... Bold Headline: Join FINRA as an Assistant General... Securities Industry! Organization: FINRA Department: Office of... General Counsel Job Title: Assistant General Counsel, Regulatory Experience: Minimum of...
FINRA is an Equal Opportunity... sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates. FINRA abides...
FINRA abides by the requirements... subcontractors to employ and advance in employment qualified individuals with disabilities. The Senior Litigation Counsel, Enforcement Services at FINRA is a highly challenging... and rewarding role for experienced litigators who are passionate about protecting...
The organization is seeking a Vice President, Enforcement Legal to lead their attorney teams in high-impact investigations and disciplinary actions. This role requires a minimum of 10 years of complex litigation experience, preferably involving securities laws, and a minimum...
Principal Investigator, NCP - FINRA H1: Join **MEMBERS ONLY**SIGN UP NOW***... as a Principal Investigator,... a Principal Investigator with FINRA Bold Headline: **MEMBERS ONLY**SIGN UP NOW***... is Seeking Experienced Investigators... Cause Program Organization: FINRA Department: National Cause... Program (NCP) Job Title:...
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,...
All FINRA locations are open to... report to your designated FINRA office on a temporary... requirements in accordance with FINRA policy and all applicable... laws and regulations. These requirements include but are not limited to, mandatory vaccinations for all employees,...
Director, Examinations - All FINRA Locations FINRA is... firm grouping at all FINRA locations. This is a... and benefits package. Join FINRA and make a difference... in the financial industry by ensuring fair and ethical practices. Key Responsibilities:...
Graduate/Legal Intern position at FINRA offers students in their... second year of law school the opportunity to gain valuable experience in the securities industry. The organization is seeking a well-qualified individual to join their Statutory Disqualification Department and assist with...
Risk Monitoring - Any Finra Location locations ... New York, NY (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL...
Investigator, VAST - All FINRA Locations locations ... Boca Raton, FL (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job...
activity for compliance with FINRA and SEC rules and... other securities laws. The Senior Analyst conducts investigations of cases which have been identified as potential areas of concern relating to private placements and other corporate financing activities. This is...
Manager -Trading Specialist Apply Logo locations Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job Posting) Boca Raton, FL (Job Posting) Woodbridge,...
Member Supervision - All FINRA Locations Apply Logo Strategic... Member Supervision - All FINRA Locations Apply Logo ... locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting)...
and Standards - All FINRA Locations Apply Logo ... locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type Full...
Enforcement Apply time type Full time posted on Posted Today job requisition id R-008956 The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from...
ongoing risk assessments of FINRA members. This is a... mid-level position that reports to a Risk Monitoring Director and supports them in identifying existing and emerging risks. The role includes conducting risk monitoring for member firms, collaborating with internal departments...
Friendly Job Title: Associate Principal Analyst, Private Placement - Rockville, MD H1 Heading: Join Our Team as an Associate Principal Analyst, Private Placement in Rockville, MD H2 Headings: - Essential Job Functions - Education/Experience Requirements - Work Conditions...
Director, OCLO Operations - Job Summary: The Associate Director of the Offices of Chief Legal Officer (OCLO) Operations is responsible for leading cross-functional initiatives and special projects within OCLO, supporting organizational excellence, and facilitating strategic planning processes. This role...
Operations, Procedures and Standards - Full-time position with competitive salary and comprehensive benefits package - Reporting directly to Vice President, Member Supervision Operations, Procedures and Standards - Responsible for providing strategic leadership and guidance in establishing procedures and standards...
In addition to salary, FINRA provides a comprehensive benefits... offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges... so that candidates can consider their growth potential while at **MEMBERS ONLY**SIGN UP NOW***. Sen...
FINRA is dedicated to providing... SEO Friendly Job Title: Examination Manager - FINRA Locations (All) H1: Join... the Team as an Examination Manager at FINRA H2: Manage and Lead... Risk-Based Examinations for FINRA Member Firms and Registered... Representatives Organi...
Principal Analyst, Dispute Resolution - Organization H2: Develops and Implements Policies for Arbitration Program Summary: The Principal Analyst, Dispute Resolution will support case administration and the National Arbitration program for FINRA Dispute Resolution (DR). This... position requires a law degree and a minimum...
Organization: FINRA Department: Member Supervision Location:... Risk Representatives - All FINRA Locations Experience: Expert level... preferred Job Requisition ID: R-008844 Time Type: Full time Salary Range: Dependent on location and candidate qualifications H1: Join FINRA as a Principal In......
Analyst, Dispute Resolution - Salary and Job Information Job Title: - Principal Analyst, Dispute Resolution Experience: - Bachelor's degree and a minimum of seven years of related experience working in a professional legal environment. - Law Degree preferred....
regulatory intelligence received by **MEMBERS ONLY**SIGN UP NOW***. This includes analyzing information... variety of sources and making recommendations for the appropriate regulatory response. The position requires a strong understanding of FINRA rules, federal securities laws,... and the securities markets and trading. The suc...
Summary: Organization: FINRA (Financial Industry Regulatory Authority)... Job Description: The Associate Director, Regulatory Policy Legal Support at FINRA's Office of General Counsel... (OGC) is responsible for overseeing a team of Regulatory Policy specialists and providing high-quality legal...
FINRA Legal Extern, Enforcement -... Unpaid Job Title: FINRA Legal Extern, Enforcement ... Experience: Graduate student pursuing JD or LLM Organization: FINRA Department: Enforcement ... Term of Position: Fall Semester (August-December) Location: Local office (twice per...
Capital Markets - All FINRA Locations - Conduct risk monitoring... ongoing risk assessments of FINRA members - Collaborate with internal... departments to analyze and communicate regulatory intelligence - Mentor and coach junior level risk monitoring staff - Serve in leadership roles for special projects...
Risk Monitoring - All FINRA Locations H1 Heading:... Join Our Team as a Principal Analyst, Risk Monitoring H2 Heading: Conduct Risk Monitoring and Assessments for FINRA's Highest Impact Firms ... Organization: FINRA Department: Risk Monitoring... Salary...
- IRG - All FINRA Locations: - Job... - IRG - Organization: FINRA - Department: Initial Review... Group (IRG) - Experience: Substantial experience in the securities/financial industry with increasing levels of responsibility - Education: Bachelor's degree or equivalent relevant...
- IRG - All FINRA Locations (Open) H1: Join... FINRA as an Associate Principal... Investigate Regulatory Intelligence at FINRA's IRG Department Organization:... FINRA Department: Initial Review Group... (IRG) Job Title: Associate Principal Investigator, NCP - IRG - All Locations...
Location: Rockville, MD Organization: FINRA Job Type: Full-time ... H1: Join FINRA as a Corporate Actions... salary and benefits! FINRA, a leading regulatory organization... in the financial industry, is seeking a Corporate Actions Analyst to join their Transparency Services...
- IRG - All FINRA Locations Salary Information: - Minimum salary... ranges from $81,900 - $98,300, depending on location - Maximum salary ranges from $146,600 - $176,000, depending on location - Additional compensation factors include skill set, level of experience, education, and internal peer...
Senior Director, Office of Chief of Staff, OCLO - Full Time H2: Senior Leadership Role in Financial Services Industry Bold Headline: Join the Leadership Team at Organization as a Senior Director, Office of Chief of Staff, OCLO...
FINRA is an Equal Opportunity... sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates. FINRA abides by...
Title: Director, MS Operations, Procedures and Standards Job Responsibilities: - Provide strategic leadership and guidance in establishing procedures and standards across the program. - Advise and collaborate with various groups conducting reviews of the program, including the SEC, Internal Audit, and Quality Assurance. -...
and Standards - All FINRA Locations Time Type:... ID: R-009247 Organization: FINRA Department: Member Supervision... Operations, Procedures and Standards (MS OPS) Apply The Senior Principal Analyst for MS Operations, Procedures and Standards will work independently...
FINRA strives to make our... note that this number is exclusively for inquiries regarding application accommodations. In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and... vesting in a 401(k...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director within the organization's Cyber and Analytics Unit (CAU) is responsible for leading the Cyber-Enabled Fraud (CEF) team. This role involves oversight of planning and execution of cyber-enabled fraud investigations involving...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist operates within the Financial Intelligence Unit (FIU) of the organization’s National Cause and Financial Crimes Detection Program (NCFC), focusing on strategic and tactical intelligence to identify emerging risks and...
is seeking an Associate Principal Investigator to join their Initial Review Group (IRG) team at various locations across the United States. The Associate Principal Investigator will be responsible for performing intake and assessment of regulatory intelligence received through various sources,...
is seeking an experienced Compliance Officer to join their team in Arlington, VA. As a senior member of the team, the Compliance Officer will play a vital role in ensuring Homestead’s adherence with federal securities rules and regulations. The Compliance...