The candidate plans for and participates in various tasks related to investigations pertaining to sales practice and trading violations by member firms and associated persons including the gathering of... read more
hearings as its staff attorney including marshaling, organizing and... presenting documentary and testimonial evidence, cross-examining witnesses, and providing opening and closing arguments. Evidence increased ability to conduct settlement and related... read more
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.... well as the relevant FINRA rules and federal securities... **MEMBERS ONLY**SIGN UP NOW***...
of possible violations of FINRA rules and the federal... securities laws. Conduct telephone interviews, including assisting with on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Gather evidence through timely, well-written...
Senior attorney with Law firm and/or... regulatory agencies â€“ SEC, FINRA, etc.
Excellent oral... and written communication skills
Well-developed interpersonal and collaborative/teamwork skills
Strong analytical, drafting and negotiating skills
Attention to detail...