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General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Assistant General Counsel, Regulatory - Full Time H2: Purposeful and Meaningful Work at a Leading Regulator Organization: FINRA Department: Office of General Counsel Job Title: Assistant General Counsel, Regulatory Employment Type: Full Time Job Requisition ID: R-008031 Salary Range:...
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 adequately...
Investigator, NCP - IRG The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify...
Investigator, NCP The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify the regulatory...