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Finra Attorney Jobs

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SPONSORED JOB
Company
FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 11,18
Info Source
Total Views
8
Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified... federal securities laws and/or finra rules. The position... of possible violations of finra rules and/or the federal... Effectively utilize internal finra systems and external resources finra read more
SPONSORED JOB
Company
FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 11,18
Info Source
Total Views
7
Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified... possible violations of relevant finra rules and the federal... of possible violations of finra rules and the federal... requests for information from finra members and other constituents. · finra read more
SPONSORED JOB
Company
FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 12,18
Info Source
Total Views
5
Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified... possible violations of relevant finra rules and the federal... of possible violations of finra rules and the federal... requests for information from finra members and other constituents. · finra read more
Company
Public Interest, FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
4
Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified... federal securities laws and/or FINRA rules. The position involves... of possible violations of FINRA rules and/or the federal... · Effectively utilize internal FINRA systems and external resources... and information pursuant to FINRA Rule 8210 that require... **MEMBERS ONLY**SIGN UP NOW***... read more
Company
In-House
Experience
Location
San Francisco, CA
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
3
securities regulators (SEC and FINRA). PERSONAL CHARACTERISTICS ... A relationship builder who can establish trust and credibility across the organization as well as with other key external constituents. Highly collaborative and strategic; detail-oriented and hands-on in approach.... read more
Company
Public Interest, FINRA.
Experience
Location
New York City, NY
Posted Date
Oct 08, 18
Info Source
Employer
Total Views
6
Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified... policy memos for the FINRA Board, FINRA Chief Executive... Officer, FINRA Chief Legal Officer, and... Oversees content of FINRA publications relating to the... a must. Experience with FINRA arbitration cases preferred. ... **MEMBERS ONLY**SIGN UP NOW***... read more
Company
Public Interest, FINRA.
Experience
Location
Washington, DC
Posted Date
Oct 09, 18
Info Source
Employer
Total Views
7
Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified... of Market Regulation against FINRA-registered firms and persons associated... with FINRA-registered firms, alleging violations of... FINRA Rules, the federal securities... other expedited proceedings against FINRA-registered firms and associated persons.... arise in more complex FINRA disciplinary proceedings (multiple respondent... **MEMBERS ONLY**SIGN UP NOW***... read more
Company
In-House, T. Rowe Price Group, Inc.
Experience
Location
Owings Mills, MD
Posted Date
Oct 08, 18
Info Source
Employer
Total Views
10
sales literature, compliance with FINRA non-cash compensation rules, and... in the securities areas, experience working with the SEC or the FINRA. T. Rowe... Price is an Equal Opportunity Employer Posted Today Full time 36909... read more
Company
In-House
Experience
6-8 yrs required
Location
New York City, NY
Posted Date
Oct 12, 18
Info Source
Employer
Total Views
34
Private Side business; Strong understanding of the Investment Advisers Act of 1940; familiarity with FINRA and CFTC/NFA rules advantageous.... Bachelor’s Degree is essential. Must have 6-8 years’ compliance-related experience, preferably in alternative investments. JD or other relevant advanced degree helpful.... read more
Company
Public Interest, FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
5
Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified... role and responsibilities of FINRA, OFDMI, and the Section.... external constituents, including other FINRA departments, FINRA members, issuers,... and trends that warrant FINRA action. ... Substantive knowledge of relevant FINRA rules and the federal... **MEMBERS ONLY**SIGN UP NOW***... read more
Company
In-House
Experience
Location
San Francisco, CA
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
4
Banking Associate, Technology, San Francisco in San Francisco, CA at Key Bank- Corporate Date Posted: 7/4/2018 Apply Not ready to Apply? Share With: Job Snapshot Employee Type: Full-Time Location: San Francisco, CA Job Type:... read more
Company
Public Interest, FINRA.
Experience
Location
Rockville, MD
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
4
Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified... administer directives and enforce FINRA policies and procedures that... and trends that warrant FINRA action. Regularly meet... external constituents, including other FINRA departments, FINRA members, and... you directly to the FINRA Careers site, enter **** **MEMBERS ONLY**SIGN UP NOW***... read more
Company
In-House, Western & Southern Financial G...
Experience
Min 4 yrs required
Location
Cincinnati, OH
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
141
services for SEC and FINRA regulated entities, reporting to... Act of 1940, and FINRA rules and regulations. Analyzes... regulatory changes and prepares impact reports, and works with business units to implement processes and procedures. Stays current on industry developments and... read more
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