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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...
representing the Financial Industry Regulatory Authority (FINRA) in disciplinary... and non-disciplinary proceedings. They will also be responsible for briefing and arguing appeals before the National Adjudicatory Council (NAC). This role requires a minimum of 10 years of litigation experience, with...
Title: Assistant General Counsel, Regulatory - Full Time ... H1 Heading: Join FINRA as an Assistant General Counsel in our Regulatory Group H2 Headings:... - Purposeful Work at a Regulator - Render Senior-Level Legal - Assistant General Counsel, Regulatory...
of the Financial Industry Regulatory Authority, Inc. ... Sr Vice President, Corp Financing & Advertising Regulation - The Sr Vice President of Corporate Financing and Advertising Regulation is a key member of the Office of the Chief Legal...
Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location - This is a full-time senior leadership position within FINRA's Cyber and Analytics Unit (CAU). - The Senior Director leads the Cyber-Enabled Fraud (CEF) team responsible for overseeing cyber-enabled fraud...
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...
FINRA Department: Special Investigations Unit (SIU) Job Type: Full-time Salary: Minimum $149,600 - Maximum $351,200 (depending on location and qualifications) Experience: Significant securities, compliance, or financial regulatory experience Job Summary:... The Senior Director within FINRA’s Special Investigations Unit (SIU)...