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Principal Counsel, Enforcement Organization: FINRA (Financial Industry Regulatory Authority) Location: Multiple locations (Rockville, MD, Jersey City, NJ, Jericho, NY, Denver, CO, Dallas, TX, Chicago, IL, Boston, MA, Boca Raton, FL, Woodbridge, NJ, Washington, DC, San Francisco, CA, Philadelphia, PA, New...
Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years of legal experience required Salary: Based on location and experience, ranging from $127,300 to $296,100 Job Type: Full-time Purpose and Meaning:...
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,...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 Overview: - Senior leadership position within FINRA’s Special Investigations Unit (SIU) - Oversees anti-money laundering (AML) and anti-fraud investigative functions - Leads specialist AML Investigations...
SUMMARY: Senior Litigation Counsel, Enforcement - Any FINRA Location The Senior Litigation Counsel, Enforcement is responsible for representing FINRA in complex disciplinary proceedings and appeals. They will also provide guidance and advice on issues related to statutory disqualification,...
Principal Investigator, Specialist Team, is a full-time position that is responsible for conducting high complexity routine and special investigations of FINRA member firms. This role also involves investigating potentially suspicious activities of persons associated with FINRA member firms and providing...
Risk Monitoring - Capital Markets - Any Finra Location The Director of Risk Monitoring will oversee the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping. They will actively supervise the activities of...
is an Employer of Choice FINRA has been named a Best Place to Work by several outlets, including the Washington Post, Financial Times and InvestmentNews. We are proud to offer a culture of inclusiveness and collaboration that is both...