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SPONSORED JOB
Company
FINRA.
Experience
Min 9 yrs required
Location
Los Angeles, CA
Posted Date
Mar 30,19
Info Source
Total Views
5
facts, the basis for finra charges, and the Principal... Considerations that support the sanction. Prioritize matters based on risk. Establish timelines and meet them, including directing the work of other... read more
SPONSORED JOB
Job title
Company
FINRA.
Experience
Min 6 yrs required
Location
Los Angeles, CA
Posted Date
Apr 04,19
Info Source
Total Views
2
Counsel
Duties: Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law. Work independently and with minimal supervision on matters involving common... read more
Company
Recruiter
Experience
3-5 yrs required
Location
Century City, CA
Posted Date
Apr 16, 19
Info Source
Recruiter
enforcement matters, internal investigations, white collar criminal matters, FINRA enforcement or arbitrations, and/or... general civil securities litigation. Securities class action experience is a plus. Must have CA Bar admittance, case management experience, and very strong research and brief writing skills....
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Company
In-House
Experience
Min 15 yrs required
Location
Los Angeles, CA
Posted Date
Apr 02, 19
Info Source
Employer
Total Views
29
compliance strategy AML and FINRA matters. Provide strategic direction... to a team of Human Resources professionals on talent management, employment law and benefits matters. Identify business, regulatory and legal risks and recommend practical alternatives that allow the company to operate...
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Company
In-House
Experience
Location
Los Angeles, CA
Posted Date
Apr 07, 19
Info Source
Employer
Total Views
4
working knowledge of current FINRA, SEC and state regulatory... issues, as well as the company's own written supervisory procedures; Productively work from home full time and pro-actively communicate with colleagues located around the country. A university degree. Preferably in finance,...
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