Save your search progress and never miss an update
FINRA, a leading securities regulator, is currently seeking... package, as well as the opportunity to work on high-profile enforcement matters. If you have a minimum of seven years of relevant legal experience and a strong understanding of securities law...
Assistant General Counsel, Regulatory Salary Range: $127,300 - $296,100 Experience: 6-8 years of directly related legal experience Organization: FINRA (Financial Industry Regulatory Authority) Location: Various locations (CA, Washington DC, CO, HI, New York, NY, WA, MD) Department: Office of General...
Litigation Counsel, Enforcement - Any FINRA Location Full-Time Position Job Requisition ID: R-007844 The Senior Litigation Counsel at FINRA, the Financial Industry Regulatory Authority, is responsible for nationwide litigation of non-disciplinary and disciplinary proceedings before the Office of Hearing...
Litigation Counsel, Enforcement - Any FINRA Location Overview: The Senior Litigation Counsel, Enforcement will have the opportunity to work on complex disciplinary and non-disciplinary proceedings nationwide, as well as brief and argue appeals before the National Adjudicatory Council...
Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location Full Time Job Requisition ID: R-007655 The Senior Director within FINRA’s Cyber and Analytics Unit (CAU) leads the Cyber-Enabled Fraud (CEF) team responsible for overseeing investigations involving member...
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...
to ensure compliance with the organization and SEC rules as well as other securities laws. Ensures underwriting compensation... is adequately valued, within guidelines, and disclosed to investors. Verifies that conflicts of interest are prominently disclosed. Drafts comment and inquiry letters,...
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...