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Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years of directly related legal experience Salary Information: Based on location and various factors, including skills, experience, and education Job Status: Full-time Job Requisition...
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,...
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...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 The Senior Director within FINRA’s Special Investigations Unit (SIU) will oversee the AML and anti-fraud investigative functions, providing leadership to specialist teams and collaborating with other...
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...
Investigator, FINOP-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 and...
Principal Counsel, Enforcement - $150,000-$200,000/year - Full Time - R-007990 H2: Join Our Team as an Enforcement Principal Counsel with FINRA! Are you a skilled and experienced attorney looking for a challenging and rewarding career opportunity? Look no...
from an accredited law school and admission to a bar required • Expertise in laws, rules, and regulations governing... the securities industry preferred Key... Responsibilities: • Render senior-level legal advice and support in connection with the complete...