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Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting)...
R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable rules and regulations, and financial crimes. The Director develops and supervises specialists regulatory programs and work products related to the routine and special examinations/inv...
Friendly Job Title: Director, Risk Monitoring – Capital Markets H1 Heading: Join FINRA as a Director of Risk Monitoring for the Capital Markets Team H2 Heading: Lead a Team of Risk Monitoring Analysts and Drive Proactive Risk Identification...
Principal Analyst, Risk Monitoring - Any FINRA Location H2: Job Description and Requirements Organization: FINRA Job Title: Principal Analyst, Risk Monitoring Job Type: Full Time Salary Range: $92,500 - $200,200 (varies by location and experience)...
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...
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,...
Salary is commensurate with experience and is competitive with public interest organizations. Excellent benefits provided, including medical, dental, 401(k) and pension. Key Responsibilities: Work on cutting-edge public interest climate change and clean energy, natural resources protection...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color,...
President & Associate General Counsel, Capital Markets Policy - Full Time FINRA is seeking a Vice President & Associate General Counsel, Capital Markets Policy to join their team in various locations including New York, NY, Chicago, IL, Boston, MA, Washington, DC,...
Principal Analyst, Risk Monitoring - Any FINRA Location The Organization: FINRA (Financial Industry Regulatory Authority) is a non-governmental organization that regulates the financial industry, including securities firms and brokers. FINRA is responsible for protecting investors, maintaining market integrity,...