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Principal Counsel, Enforcement - FINRA Careers H2: Join Our Team as a Principal Counsel, Enforcement FINRA, the Financial Industry Regulatory Authority, is seeking a highly skilled and experienced Principal Counsel to join our Enforcement team. This is a full-time position with...
friendly job title: Assistant General Counsel, Regulatory - Full Time H1 heading: Join FINRA as an Assistant General Counsel, Regulatory H2 heading: Senior-Level Legal Role with Purpose and Meaning Bold headlines: - Are you looking for meaningful...
2021 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Title: Sr Vice President, Corporate Financing & Advertising Regulation Job Requisition ID: R-007616 Organization: FINRA Location:...
Represent FINRA in Complex Securities Cases Nationwide Key... Responsibilities: - Litigate non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers - Brief and argue appeals before the National Adjudicatory Council - Provide guidance and advice on issues...
Friendly Job Title: Senior Litigation Counsel, Enforcement - Any FINRA Location H1 Heading: Join Our Team as a Senior Litigation Counsel at FINRA! H2 Headings: - Represent FINRA in Complex Litigation Cases - Provide Guidance and Advice on...
national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon... the protected status of the person’s relatives, friends or associates. FINRA abides...
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...