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Job Title: Principal Analyst, Regulatory Services Management H1:... a Principal Analyst in Regulatory Services Management H2:... Help Ensure Regulatory Compliance and Oversight in... Organization: FINRA (Financial Industry Regulatory Authority) Department: Market... Regulation and Transparency Services (MRTS)...
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, color,...
Associate, General Counsel - Salary information, job title and experience: - Salary range for this role in Washington, DC (Headquarters) is $242,000 - $399,200 - Full-time position in the Office of General Counsel (OGC) - Minimum of 15+ years of legal experience required -...
with a background in regulatory or legal environments? Do... you have a strong understanding of federal securities laws and FINRA rules? If so, we have an exciting opportunity for you as a Manager in our Private Placement Review department. In...
Overview: NADA (**MEMBERS ONLY**SIGN UP NOW***.) is a trade association representing nearly 16,000 franchised new car and truck dealerships, both domestic and international. Our mission is to serve and represent the franchised new car and truck dealers, their management,...
Principal Analyst, Regulatory Services Management - Full... - $200,200 (Based on Location and Experience) Responsibilities: • Managing the Change Control/Request and RSA Exchange Regulatory Oversight Committee (ROC) reporting... processes. • Developing and implementing solutions to improve the effectiven...
friendly job title: Senior Director, Special Investigations Unit - Any FINRA Location H1: Senior Director - Special Investigations Unit H2: Job Description and Responsibilities Bold Headlines: - Join the leading securities regulator in the US -...
Senior Employee Relations Manager **Organization** is seeking a Senior Employee Relations Manager to join its People Solutions Department. The Senior Employee Relations Manager will be responsible for conducting investigations into employee complaints and allegations of misconduct, identifying risks, providing...
Manager, Private Placement Review - Apply Now! H2: Join Our Team at Organization - Rockville, MD or Washington, DC Location Job Title: Manager, Private Placement Review Job Type: Full Time Organization: FINRA Location: Rockville, MD or Washington, DC Salary:...