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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 The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; provides guidance to Member Supervision staff on their complex assignments, as well...
abides by the requirements of 29 CFR 513. This regulation prohibits discrimination against qualified individuals on the basis of age, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals on the...
Investigator, Specialist Team The candidate conducts high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles...
500 words, maximum 3000 words Job Title: Principal Analyst, Dispute Resolution Services Training Organization: FINRA Department: Dispute Resolution Services Salary Information: California: Minimum Salary $106,400, Maximum Salary $200,200 Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800 Colorado/Hawaii:...
Friendly Job Title: Principal Investigator, Specialist Team - All FINRA Locations H1: Join Our Team as a Principal Investigator for FINRA H2: Conduct High Complexity Investigations and Make a Difference in the Securities Industry Organization: FINRA (Financial...