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based on a competitive public interest salary scale. A... generous benefits package is provided. Organization Overview: We are a mission-driven, not-for-profit law firm that provides civil legal aid to low-income individuals in Illinois. We advocate for the basic human...
Senior Analyst, Public Offerings The candidate analyzes... complex and high-profile public offering transactions. Reviews and... investigates proposed public offering underwriting arrangements to... ensure compliance with the organization and SEC rules as well as other securities laws. Ensures underwriting compensation is...
Senior Director, Cyber-Enabled Fraud and Analytics will be responsible for overseeing investigations and examinations related to cyber-enabled fraud within FINRA member firms. They will also lead a team of highly skilled cyber, fraud, and analytics specialists and develop a data...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...
Director, Special Investigations Unit - Any FINRA Location Experience: Significant securities, compliance, or financial regulatory experience Salary: Based on location and factors such as skill set, level of experience, and education Job Type: Full time Education: Bachelor's degree in relevant...
**MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Sr Vice President, Corporate Financing & Advertising Regulation - Full Time JOB REQUISITION ID: R-007616 Organization: FINRA Department: Office of...
Principal Investigator, NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal...
Investigator, FINOP-NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and...
Director, MAP The candidate reports directly to the Vice President, Membership Application Program & Statutory Disqualification. Senior leaders responsible for the management and assessment of firm group membership applications and materiality consultations. Leads and implements the strategic direction of the...