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Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...
Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...
Principal Counsel, Enforcement - Join FINRA and Make a Difference in Financial Regulation H2: Overview: - Role: Principal Counsel, Enforcement - Organization: FINRA - Location: Multiple locations (see job posting) - Time type: Full time - Job requisition ID: R-007990 - Education/Experience: Minimum of 7 years relevant...
Assistant General Counsel, Regulatory Salary: $127,300 - $296,100 Job Title: Assistant General Counsel, Regulatory Experience: 6-8 years 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...
Enforcement The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly....
Assistant General Counsel, Litigation The candidate performs a... in connection with civil, criminal and administrative proceedings. Responsible for risk mitigation in the handling of lawsuits and claims, handling complex litigation matters independently, and supervising... and mentoring other attorneys and para...
Friendly Job Title: Senior Litigation Counsel - Enforcement ... FINRA as a Senior Litigation Counsel H2: Represent... of 10 years of litigation experience Salary Information:... - California: Minimum Salary $146,200, Maximum Salary $296,100 - Washington, DC: Minimum...
Senior Litigation Counsel, Enforcement - Any... Job Title: Senior Litigation Counsel, Enforcement Salary Range:... of 10 years of litigation experience Job Description:... The Senior Litigation Counsel, Enforcement will work... under minimal supervision to litigate nationwide non-disciplinary and...
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...
Enforcement The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...