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Friendly Job Title: Associate General Counsel H1: Join our team as an Associate General Counsel at World Vision International H2: Make a difference by providing legal advice and support to help vulnerable children around the world World...
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:...
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...
Director 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...
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Headline: Paralegal, Enforcement - Join Our Team at FINRA! H1: Paralegal, Enforcement - Legal Support at FINRA H2: Essential Job Functions: - Perform legal research for staff attorneys - Assist with preparing and sharing exhibits for testimony...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and...
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...
Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with...
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...