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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...
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...
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:...
Friendly Job Title: Director, Risk Monitoring - Capital Markets H1 Heading: Join FINRA as a Director of Risk Monitoring in Capital Markets H2 Heading: Lead a Team of Risk Monitoring Analysts and Oversee Risk Assessments for a Portfolio...
Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions - Conduct risk monitoring activities and ongoing risk assessments for FINRA members - Report to a Risk Monitoring Director and support in identifying existing and emerging risks -...
is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any...
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...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
Friendly Job Title: Senior Litigation Counsel, Enforcement - Any FINRA Location H1: Join the FINRA Team as a Senior Litigation Counsel, Enforcement H2: Represent FINRA in Complex Securities Cases Nationwide Key Responsibilities: - Litigate non-disciplinary and disciplinary...