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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...
Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...
Enforcement The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly....
Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...
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...
Enforcement The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
Enforcement The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
Assistant General Counsel, Litigation The candidate performs a... in connection with civil, criminal and administrative proceedings. Responsible for risk mitigation in the handling of lawsuits and claims, handling complex litigation matters independently, and supervising... and mentoring other attorneys and para...
Director, Special Investigations Unit - FINRA H1: Senior Director, Special Investigations Unit - FINRA: AML and Fraud Expertise in Financial Regulatory Agency H2: Join FINRA as Senior Director, Special Investigations Unit and Lead AML and Fraud Investigations...