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FINRA Department: Special Investigations Unit Job Title: Senior Director, Special Investigations Unit Experience: Significant securities, compliance, or financial regulatory experience Salary Information: - California: Minimum Salary $171,900, Maximum Salary $351,200 - Washington DC: Minimum Salary $171,900, Maximum Salary $336,600 -...
Litigation Counsel, Enforcement - Any FINRA Location Salary Information: - Minimum salary ranges from $127,300 to $152,700, depending on location - Maximum salary ranges from $246,600 to $296,100, depending on location Job Title: Senior Litigation Counsel Experience...
Principal Counsel, Enforcement position is a full-time role within the organization with a minimum of seven years of relevant legal experience in the financial regulatory space. This role is responsible for performing rigorous assessments and effective advocacy in Enforcement matters....
Litigation Counsel, Enforcement - Any FINRA Location The Senior Litigation Counsel, Enforcement role is a senior level position within FINRA, the Financial Industry Regulatory Authority. This position is responsible for representing FINRA in complex disciplinary proceedings and appeals, as...
Assistant General Counsel, Regulatory will provide senior-level legal advice and support in connection with new regulatory initiatives, serve as a subject matter resource in one or more areas of legal expertise, and assist in briefing and communicating complex regulatory initiatives...
Director, Risk Monitoring - Capital Markets - Any FINRA Location H2: Essential Job Functions: - Supervise Risk Monitoring Analysts in daily activities and ensure timely, precise, and quality risk assessments and reports. - Develop risk-based Regulatory Responses and evaluate adequacy...
Analyst, Risk Monitoring - Full Time Location: Any FINRA Office Job Requisition ID: R-008120 Overview: This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and...