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General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Principal Investigator, Specialist Team position at FINRA is a highly specialized role that requires an expert level of knowledge and experience in conducting investigations of FINRA member firms and registered representatives. This position is responsible for proactively surveilling the industry...
Designer - Create and Deliver 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...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Principal Investigator, Specialist Team - All FINRA Locations H2: Job Description Organization: FINRA Job Title: Principal Investigator, Specialist Team Job Type: Full-time Location: All FINRA Locations Salary Information: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington,...
Risk Monitoring - Capital Markets Full-time position Job Requisition ID: R-008111 Role Overview: The Director of Risk Monitoring is responsible for overseeing the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Director of Risk Monitoring is a senior level position within the Risk Monitoring department at **MEMBERS ONLY**SIGN UP NOW***. This role is responsible for overseeing a team of Risk Monitoring Analysts and ensuring the successful implementation and completion of the Risk Monitoring Program...