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Friendly Job Title: Assistant General Counsel, Regulatory - Full Time H1: Join FINRA as an Assistant General Counsel in our Regulatory Group! H2: Purposeful Work with FINRA as an Assistant General Counsel, Regulatory Bold Headlines: - Work for a Regulator with a Strong Moral...
Principal Counsel, Enforcement - Competitive Salary and Benefits H2: Join Our Team at FINRA - Apply Today! Summary: FINRA, a leading financial regulatory organization, is seeking a highly experienced Principal Counsel to join their Enforcement team. The successful candidate will be responsible for...
Friendly Job 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 Advice and Support...
Litigation Counsel, Enforcement - Any FINRA Location Salary Information: - Minimum salary ranges from $127,300 to $152,700, depending on location. - Maximum salary ranges from $246,600 to $296,100, depending on location. - Actual compensation is based on various...
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 demonstrated ability to administer and try complex securities cases. T...
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)...
Principal Investigator, Specialist Team The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; provides guidance to Member Supervision staff on their complex assignments, as well...
of relevant rules, federal securities laws, and markets and... trading. Analyze the information received and identify the regulatory issues raised to determine, among other things, whether the organization has jurisdiction. Collect and analyze additional relevant information obtained from inte...
Principal Investigator, NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal...