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Principal Counsel, Enforcement - $150,000-$200,000/year - Full Time - R-007990 H2: Join Our Team as an Enforcement Principal Counsel with FINRA! Are you a skilled and experienced attorney looking for a challenging and rewarding career opportunity? Look no...
and Analytics Unit (CAU) leads the Cyber-Enabled Fraud (CEF) team responsible for overseeing cyber-enabled fraud investigations involving member firms and the Analytics Threat Targeting team, which conducts threat identification analysis and proactive targeting using data analytics to support the... d...
from an accredited law school and admission to a bar required • Expertise in laws, rules, and regulations governing... the securities industry preferred Key Responsibilities: • Render senior-level legal advice and support in connection with the complete...
friendly job title: Senior Director, Special Investigations Unit - Any FINRA Location H1: Senior Director - Special Investigations Unit H2: Job Description and Responsibilities Bold Headlines: - Join the leading securities regulator in the US -...
NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and external systems. Provides an advanced level of in-depth data analysis for NCP investigations... with respect to conducting reviews and subsequently providing...
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...
subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and external systems. Provides an advanced level of in-depth data analysis for NCP investigations... with respect to conducting reviews and subsequently providing a h...
Investigator, Specialist Team - All FINRA Locations Full time The Principal Investigator, Specialist Teams is responsible for conducting high complexity routine and special investigations of FINRA member firms. This includes investigating potentially suspicious activities of persons associated with...
Analyst, Public Offerings - Remote Organization: FINRA Department: Corporate Financing Public Offerings Job Requisition ID: R-008056 Job Type: Full Time Location: Remote (Rockville, MD) Salary Range: $68,500 - $146,900 (based on location and experience)...
Senior Employee Relations Manager **Organization** is seeking a Senior Employee Relations Manager to join its People Solutions Department. The Senior Employee Relations Manager will be responsible for conducting investigations into employee complaints and allegations of misconduct, identifying risks, providing...