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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 Analyst, Regulatory Services Management Location: Remote/Office Organization: **MEMBERS ONLY**SIGN UP NOW***... (Financial Industry Regulatory Authority) Department: Market Regulation and Transparency Services (MRTS) Salary Range: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800 -...
Analyst, Dispute Resolution Services Training Apply Logo Job Locations Chicago, IL (Job Posting) Jersey City, NJ (Job Posting) Boca Raton, FL (Job Posting) New York, NY (Job Posting) Los Angeles, CA (Job Posting)...
Risk Monitoring - Capital Markets - Any FINRA Location Full Time Job Requisition ID: R-008111 Job Title: Director, Risk Monitoring - Capital Markets Experience: MBA, JD, other graduate degree and/or relevant industry certification(s) preferred. Organization:...
Principal Analyst, Risk Monitoring will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. This is a senior-level position reporting to a Risk Monitoring Director and will support both that direct manager in identifying existing...