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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...
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...
Risk Monitoring - Capital Markets - Any FINRA Location Full Time Job Requisition ID: R-008111 Job Title: Director, Risk Monitoring - Capital Markets Experience: MBA, JD, other graduate degree and/or relevant industry certification(s) preferred. Organization:...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
Litigation Counsel, Enforcement - Any FINRA Location Overview: The Senior Litigation Counsel, Enforcement will have the opportunity to work on complex disciplinary and non-disciplinary proceedings nationwide, as well as brief and argue appeals before the National Adjudicatory Council...
Assistant General Counsel, Regulatory Salary Range: $127,300 - $296,100 Experience: 6-8 years of directly related legal experience Organization: FINRA (Financial Industry Regulatory Authority) Location: Various locations (CA, Washington DC, CO, HI, New York, NY, WA, MD) Department: Office of General...
Friendly Job Title: Principal Analyst - Instructional Designer at FINRA H1: Join FINRA as an Instructional Designer H2: Empower and Educate with FINRA as an Instructional Designer Bold Headlines: - Make a Difference with FINRA as...
Title: Principal Analyst, Regulatory Services Management Location: Remote/Office Organization: FINRA (Financial Industry Regulatory Authority) Department: Market Regulation and Transparency Services (MRTS) Salary Range: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800...
Principal Analyst, Risk Monitoring will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. This is a senior-level position reporting to a Risk Monitoring Director and will support both that direct manager in identifying existing...