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Director 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...
Job Title: Director, Enforcement Job Type: Full-Time Experience Required: Minimum 7 years of regulatory and/or litigation experience in the securities industry Location: Multiple locations... in the United States Salary Range: $127,300 - $296,100 (varies by location and experience) Over...
a law degree and a minimum of seven years of experience in securities-related regulatory and/or complex litigation,... with at least five years spent working for a regulatory entity, member firm, or law firm. The Director is responsible for ensuring tha...
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non-governmental regulator for all securities firms doing business with... public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry...
non-governmental regulator for all securities firms doing business with... public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry...
Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years of directly related legal experience Salary Range: $127,300 - $296,100 (depending on location and qualifications) Organization: FINRA (Financial Industry Regulatory Authority) Department: Office of General Counsel Job Type: Full-time Location: Multiple locations (Washington, DC; Jericho, NY; Denver,...
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...
- Job Title: Associate General Counsel, Regulatory - Organization: FINRA - Type: Full-time - Location: Hybrid work environment (remote/office) - Salary: Varies based on location and factors such as skill set, experience, and education - Job Requisition ID: R-008412...
Friendly Job Title: Director, Risk Monitoring - Capital Markets H1 Heading: Director, Risk Monitoring - Capital Markets - Any Finra Location H2 Heading: Essential Job Functions Bullet Points: - Supervise the activities of Risk Monitoring Analysts for...