Save your search progress and never miss an update
Principal Counsel, Enforcement - Full Time Job with Organization H2: Job Overview FINRA is seeking a highly skilled and experienced Principal Counsel to join our Enforcement team. This role plays a crucial role in assessing and advocating for...
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...
involving violations of federal securities laws and SRO rules. Salary... Range: - CA: Minimum Salary $146,200, Maximum Salary $296,100 - CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,600 - IL*: Minimum Salary $139,800, Maximum Salary $271,400 - Jersey City, NJ/NY, NY: Minimum Salary $152,700, Maximum Salary...
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...
The position of Director, Enforcement is a full-time role within the organization. The job requisition ID for this position is R-008299 and it was posted today. The Enforcement Director will manage a team of 5-8 Enforcement attorneys and will...
**MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Director, Enforcement - Job Description Apply for the position of Director, Enforcement at Organization. Location: New York, NY Jersey...
abides by the requirements of 41 CFR ). This regulation prohibits discrimination against qualified applicants or employees on the basis of race, color, religion, sex, national origin, age, disability, or where otherwise prohibited by applicable law. FINRA abides by the...
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,...
- Job title: Legal Services Staff Attorney - Organization: **MEMBERS ONLY**SIGN UP NOW***. - Job category: CJE Community Services - Requisition number: LEGAL004535 - Location: Chicago, IL - Salary: Commensurate with experience - Full-time position - Posted: July 18, 2024...
Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with...