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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...
ability to work in a hybrid environment, with the option to work remotely within the United States. As a law student, you will have... the opportunity to gain hands-on experience in legal research and writing, as well as assist wit...
Senior Litigation Counsel, Enforcement - Any FINRA Location Salary: - California: Minimum Salary $146,200, Maximum Salary $296,100 - Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800 - Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600 - New York, NY:...
R-008031: Assistant General Counsel, Regulatory Assistant General... Counsel, Regulatory – Full Time ... the oversight of the SEC, FINRA (Financial Industry Regulatory Authority) is dedicated to... protecting investors and maintaining market integrity. We are seeking an experienced Ass...
Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location The Senior Director within FINRA’s Cyber and Analytics Unit (CAU) will lead a team responsible for overseeing cyber-enabled fraud investigations involving member firms and conducting threat identification analysis using data...
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...
suspicious activities of persons associated with member firms; provides guidance to Member Supervision staff on their complex assignments, as well as consultative services to staff. Be an expert in identifying risks, developing regulatory strategies and executing those... examination strategies...
General Counsel, Litigation The candidate performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal representation to the organization's companies, officers and employees in connection with civil, criminal and administrative proceedings. Responsible for risk mitigation...
friendly job title: Senior Director, Special Investigations Unit - FINRA - Full Time H1: Senior Director, Special Investigations Unit - Any FINRA Location H2: About FINRA's Special Investigations Unit (SIU) Salary Information: - Minimum salary: $149,600 - Maximum salary:...