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a plus. Salary Information: Salary for this position... is competitive and based on experience. The organization also offers a comprehensive benefits package. Job Title: Associate Corporate & Compliance Counsel Experience: 4-5 years of experience in general corporate...
is an equal opportunity employer and highly values diversity. Deputy General Counsel: Providing Legal Expertise and Leadership at **MEMBERS ONLY**SIGN UP NOW***. **MEMBERS ONLY**SIGN UP NOW***., the premier nonprofit environmental law organization, is seeking a Deputy General Counsel to join their team. This...
Senior Director, Cyber-Enabled Fraud and Analytics will be responsible for overseeing investigations and examinations related to cyber-enabled fraud within FINRA member firms. They will also lead a team of highly skilled cyber, fraud, and analytics specialists and develop a data...
President, Risk Monitoring - Trading and Execution Firm Grouping The candidate oversees teams focused on the tailoring of risk monitoring and assessment for firms under their responsibility, as well as the exam plan and scope of exams. Provides strategic leadership...
Director, Retail Risk Monitoring The candidate will be the single point of accountability for the risk assessment, planning and execution of examinations, based on risks identified for a particular Firm Group and/or Subgroup. Provides strategic leadership in a Firm Grouping...
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...
Director, MAP The candidate reports directly to the Vice President, Membership Application Program & Statutory Disqualification. Senior leaders responsible for the management and assessment of firm group membership applications and materiality consultations. Leads and implements the strategic direction of the...
Member Supervision Operations, Procedures, and Standards The candidate will provide strategic leadership and guidance and establish procedures and standards across the program as well as advise and collaborate with various groups conducting reviews of the program including the SEC, Internal...
Principal Counsel, Enforcement - Apply Now! H2: Join FINRA as a Principal Counsel and make a difference in the financial regulatory space Organizations: FINRA (Financial Industry Regulatory Authority) Locations: - Rockville, MD - Jersey City, NJ -...
Friendly Job Title: Director, Risk Monitoring – Capital Markets H1 Heading: Join FINRA as a Director of Risk Monitoring for the Capital Markets Team H2 Heading: Lead a Team of Risk Monitoring Analysts and Drive Proactive Risk Identification...