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Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate... with the Vice President, Broker-Dealer/Investment Adviser Group, to develop... in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. Provide high quality and timely legal and advisory...
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. - Actual compensation is based on various...
Doctorate degree from an accredited law school and admission to a state bar. Salary The salary for this position is competitive and commensurate with experience. Summary Company is looking for a Vice President, Counsel to join their Pershing...
2021 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Sr Vice President, Corp Financing & Advertising Regulation - The Sr Vice President of Corporate Financing and Advertising Regulation is...
Title: Tax Senior Manager - Financial Services - Mutual Fund (East Region City Locations) Experience: 8+ years Salary Range: $119,490 - $272,090 Locations: Available in 22 cities Position Summary: - Seeking a leader with a passion for financial...
Manager - Financial Services - Mutual Fund Tax (East Region City Locations) Salary Information: $84,980 to $193,440 per year, plus potential for annual incentive program Job Title: Tax Manager Experience: 5+ years providing tax planning services or...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
Principal Investigator, Specialist Team - All FINRA Locations H2: Job Description Organization: FINRA Job Title: Principal Investigator, Specialist Team Job Type: Full-time Location: All FINRA Locations Salary Information: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington,...
Analyst, Risk Monitoring-Diversified, Carrying and Clearing - ANY FINRA location Full time position with FINRA, a leading regulatory organization for the financial industry. Job Responsibilities: Conduct risk monitoring activities and ongoing risk assessments for FINRA members,...
Instructional Designer Organization: FINRA (Financial Industry Regulatory Authority) Employment Type: Full-time Location: Multiple locations (Chicago, IL; Jersey City, NJ; Boca Raton, FL; Washington, DC; Rockville, MD; New York, NY; Los Angeles, CA) About the Organization: FINRA is a not-for-profit...