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of the Financial Industry Regulatory Authority, Inc. ... Sr Vice President, Corp Financing & Advertising Regulation - The Sr Vice President of Corporate Financing and Advertising Regulation is a key member of the Office of the Chief Legal...
FINRA Department: Special Investigations Unit (SIU) Job Type: Full-time Salary: Minimum $149,600 - Maximum $351,200 (depending on location and qualifications) Experience: Significant securities, compliance, or financial regulatory experience Job Summary:... The Senior Director within FINRA’s Special Investigations Unit (SIU)...
with FINRA, a leading regulatory organization for the financial... industry. Job Responsibilities: Conduct risk monitoring activities and ongoing risk assessments for FINRA members, reporting to a Risk Monitoring to analyze and communicate regulatory intelligence, making recommendations for......
Organization: FINRA (Financial Industry Regulatory Authority) Employment Type: Full-time... Location: Multiple locations (Chicago, IL; Jersey City, NJ; Boca Raton, FL; Washington, DC; Rockville, MD; New York, NY; Los Angeles, CA) About the Organization: FINRA is a not-for-profit entity that...
of the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping. This involves managing a team of Risk Monitoring Analysts and ensuring the timely and accurate completion of risk assessments, reports, and regulatory responses. The Director also... works cl...
Organization: FINRA (Financial Industry Regulatory Authority) Experience: Minimum... experience in the financial regulatory space or related areas.... Salary: Not specified Locations: Rockville, MD; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca...
Training for Financial Industry Regulatory Authority FINRA is... a not-for-profit entity that operates under the oversight of the SEC and has a mission of investor protection and market integrity. They are currently seeking an Instructional Designer to join their...
Organization: FINRA (Financial Industry Regulatory Authority) Location: Any **MEMBERS ONLY**SIGN UP NOW***... Location (California, Washington DC, Colorado, Hawaii, New York, NY, Washington State) Salary Range: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington, DC: Minimum Salary $106,400 Maximum Salary...
Title: Principal Analyst, Regulatory Services Management Organization:... Principal Analyst in the Regulatory Services Management team (“RSM”)... in FINRA’s Department of Market Regulation and Transparency Services (“MRTS”) is responsible for performing a wide variety of tasks in support of establishing...
Full Time Salary Range: $149,600 - $351,200 (varies by location and experience) Experience: Significant securities, compliance, or financial regulatory experience required Job... Requisition ID: R-007655 Date Posted: Posted Yesterday Location: Any FINRA Location #LI-...