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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...
Organization: FINRA (Financial Industry Regulatory Authority) Position: Vice President &... Associate General Counsel, Regulatory Experience: Minimum of 10 years... of $345,700 (varies based on location and individual qualifications) Job Requisition ID: R-007923 Job Summary: The Vice President & Associate General Counsel, Regulatory, is responsible for...
involves representing FINRA in complex disciplinary proceedings and appeals, providing guidance to other departments on legal issues, and participating in litigation training. The position requires a law degree and admission to... the bar, as well as excellent communication and organi...
• Assistant General Counsel, Regulatory • Full-time position with... FINRA (Financial Industry Regulatory Authority) • Job Requisition... legal experience required • Law degree from an accredited... law school and admission to... a bar required • Expertise in laws, rules, and...
is seeking an Associate Principal Corporate Actions Analyst to join its Rockville, MD team. This is an entry-level professional role in which the incumbent will perform their assigned roles, develop job-related skills, and work under direct supervision. ## Job...
Senior Employee Relations Manager **Organization** is seeking a Senior Employee Relations Manager to join its People Solutions Department. The Senior Employee Relations Manager will be responsible for conducting investigations into employee complaints and allegations of misconduct, identifying risks, providing...
Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location Full time Posted Yesterday Job Requisition ID: R-007655 The Senior Director within FINRA’s Cyber and Analytics Unit (CAU) leads the Cyber-Enabled Fraud (CEF) team responsible for overseeing...
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...