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Advisor, Member Supervision The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in...
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...
Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years of directly related legal experience Salary Information: Based on location and various factors, including skills, experience, and education Job Status: Full-time Job Requisition...
Counsel (Intellectual Property) - Help lead Natcast's legal function and shape the future of semiconductor technology Natcast (The National Center for the Advancement of Semiconductor Technology) is seeking a Senior Counsel with expertise in intellectual property law to join...
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...
Advisor, Member Supervision The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in...
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...
FINRA is seeking a highly qualified Senior Vice President, Appellate for our Office of General Counsel (OGC) in Washington, DC or Rockville, MD. The Senior Vice President—Appellate (SVP) will oversee the legal support and guidance provided to the National Adjudicatory...
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...
Investigator, Specialist Team - All FINRA Locations Full time The Principal Investigator, Specialist Teams is responsible for conducting high complexity routine and special investigations of FINRA member firms. This includes investigating potentially suspicious activities of persons associated with...