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retirement plan. Actual salary will be based on experience and qualifications. Senior Commercial Counsel - Full Time (Remote/Hybrid) Department: Legal Organization: **MEMBERS ONLY**SIGN UP NOW***. Responsibilities: - Review, draft, and negotiate a variety of contracts, ensuring compliance with r...
Director, 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...
Title: Senior Principal Analyst, Regulatory Services Management H1... Heading: Join FINRA's Regulatory Services Management Team as... Transparency Services to Ensure Regulatory Compliance Summary: ... Principal Analyst in FINRA's Regulatory Services Management team is... responsible for managing and maintaining...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color,...
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with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and... federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing publ...
FINRA (Financial Industry Regulatory Authority) is seeking a... oversee anti-money laundering (AML) and anti-fraud investigations. This senior level leadership position requires experience in securities, compliance, or financial regulatory work and a strong... understanding of AML and fraud related...
Litigation Counsel, Enforcement - Any FINRA Location • Full-time position with minimal supervision • Litigate nationwide non-disciplinary and disciplinary proceedings • Represent FINRA in complex disciplinary proceedings and appeals • Provide guidance on statutory disqualification, member application denials, and waiver/exemption...