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Principal Counsel, Enforcement - Competitive Salary and Benefits H2: Join Our Team at FINRA - 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...
Friendly Job Title: Assistant General Counsel, Regulatory - Full Time H1 Heading: Join FINRA as an Assistant General Counsel in our Regulatory Group H2 Headings: - Purposeful Work at a Regulator - Render Senior-Level Legal Advice and Support...
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....
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...
Senior Litigation Counsel, Enforcement - Any... Actual compensation is based on various factors, including candidate's skill set, experience, education, and internal peer compensation comparisons. Job Title: Senior Litigation Counsel Experience Requirements:... - Minimum of 10 yea...
Senior Litigation Counsel, Enforcement - Any... Location The Senior Litigation Counsel is responsible for... Adjudicatory Council (NAC). This role requires a minimum of 10 years of litigation experience, with demonstrated ability... to administer and try complex securities cases. T...
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...
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)...
Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location - This is a full-time senior leadership position within FINRA's Cyber and Analytics Unit (CAU). - The Senior Director leads the Cyber-Enabled Fraud (CEF) team responsible for overseeing cyber-enabled fraud...