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Make a Difference in Financial Regulation H2: Overview: - Role: Principal... Job requisition ID: R-007990 - Education/Experience: Minimum of 7 years relevant legal experience in financial regulatory space preferred - Work... Conditions: Occasional work outside of business hours and overnight travel may be required...
of legal experience Organization: FINRA (Financial Industry Regulatory Authority) Location: Various... locations (CA, Washington DC, CO, HI, New York, NY, WA, MD) Full Time: Yes Job Requisition ID: R-008031 Purpose and Meaning: - Work for a not-for-profit entity that operates under the oversight of the SEC -...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 Overview: The Senior Director within FINRA’s Special Investigations Unit (SIU) will be responsible for overseeing the anti-money laundering (AML) and anti-fraud investigative functions. This includes...
Apply Today! Summary: FINRA, a leading financial regulatory organization, is seeking... a highly experienced Principal Counsel to join their Enforcement team. The successful candidate will be responsible for conducting rigorous assessments and advocating for fair outcomes in enforcement matters. This full-time position...
FINRA Department: Special Investigations Unit (SIU) Job Type: Full-time Salary: Minimum $149,600 - Maximum $351,200 (depending on location and qualifications) Experience: Significant securities, compliance, or financial regulatory experience Job... Summary: The Senior Director within FINRA’s Special Investigations Unit (SIU)...