you need an accommodation for the application process, please email us at . Please note that this email address is only for inquiries regarding application accommodations. In addition to salary, FINRA provides a comprehensive benefits package. Candidates can expect...
41 CFR ). This regulation prohibits discrimination against qualified... advance in employment qualified individuals with disabilities. The Senior Litigation Counsel, Enforcement Services at FINRA is a... highly challenging and rewarding role for experienced litigators who are passionate about protecting...
Senior Program Administrator, OGC Regulation - Washington, DC/Rockville, MD Apply... Now! The Senior Program Administrator will provide high-level administrative and programmatic support to employees and senior executives within the Office of General Counsel (OGC) Regulatory Policy, Capital Markets, and Appellate offices. This...
Corporate Actions Analyst, Transparency Services Salary Range: $61,300-$130,400 per... salary and benefits! FINRA, a leading regulatory organization in the financial industry, is seeking a... Corporate Actions Analyst to join their Transparency Services team in Rockville, MD.... In this entr...
Senior Leadership Role in Financial Services Industry Bold... Headline: Join the Leadership Team at Organization as a Senior Director, Office of Chief of Staff, OCLO Organization is seeking a highly skilled and experienced Senior Director to join our...
Friendly Job Title: Associate Principal Analyst, Private Placement - Rockville, MD H1 Heading: Join Our Team as an Associate Principal Analyst, Private Placement in Rockville, MD H2 Headings: - Essential Job Functions - Education/Experience Requirements - Work Conditions...
Director, OCLO Operations - Job Summary: The Associate Director of the Offices of Chief Legal Officer (OCLO) Operations is responsible for leading cross-functional initiatives and special projects within OCLO, supporting organizational excellence, and facilitating strategic planning processes. This role...
Enforcement Apply time type Full time posted on Posted Today job requisition id R-008956 The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from...
MS OPS - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008908 The Director will provide strategic leadership and guidance and establishes procedures...
Associate Principal Risk Monitoring Analyst will work with a team to conduct risk monitoring activities and ongoing risk assessments of FINRA members. This is a mid-level position that reports to a Risk Monitoring Director and supports them in identifying existing...
Operations, Procedures and Standards - Full-time position with competitive salary and comprehensive benefits package - Reporting directly to Vice President, Member Supervision Operations, Procedures and Standards - Responsible for providing strategic leadership and guidance in establishing procedures and standards...
is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any...
is dedicated to providing the candidate with an inclusive environment to learn, grow, and develop professionally. We are seeking a candidate who is motivated by our mission and values and who can contribute to our diverse and talented team....
is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other...
Principal Analyst, Dispute Resolution - Organization H2: Develops and Implements Policies for Arbitration Program Summary: The Principal Analyst, Dispute Resolution will support case administration and the National Arbitration program for FINRA Dispute Resolution (DR). This position requires a law degree and a minimum...
FINRA Department: Member Supervision Location: Various Locations Job Type: Full-time Job Title: Principal Investigator, High Risk Representatives - All FINRA Locations Experience: Expert level Education: Bachelor's degree or equivalent relevant experience required; advanced degree or law degree, preferred Job Requisition...
Title: Director, MS Operations, Procedures and Standards Job Responsibilities: - Provide strategic leadership and guidance in establishing procedures and standards across the program. - Advise and collaborate with various groups conducting reviews of the program, including the SEC, Internal Audit, and Quality Assurance. -...
Summary: Organization: FINRA (Financial Industry Regulatory Authority) Job... Title: Associate Director, Regulatory Policy Legal Support Experience: Minimum of 8 years in a relevant field Location: Washington, DC or Rockville, MD Time Type: Full time Job Description: The...
Legal Extern, Enforcement - Fall Semester 2025 Salary Information: Unpaid Job Title: FINRA Legal Extern, Enforcement Experience: Graduate student pursuing JD or LLM Organization: FINRA Department: Enforcement Term of Position: Fall Semester (August-December)...
Analyst, Risk Monitoring - Capital Markets - All FINRA Locations - Conduct risk monitoring activities and ongoing risk assessments of FINRA members - Collaborate with internal departments to analyze and communicate regulatory intelligence - Mentor and coach junior level risk monitoring staff - Serve...
FINRA locations. This is a full-time position with a competitive salary and benefits package. Join FINRA and make a difference in the financial industry by ensuring fair... and ethical practices. Key Responsibilities: - Develop and implement strategic...
Friendly Job Title: Principal Analyst, Risk Monitoring - All FINRA Locations H1 Heading: Join Our Team as a Principal Analyst, Risk Monitoring H2 Heading: Conduct Risk Monitoring and Assessments for FINRA's Highest Impact Firms Organization: **MEMBERS ONLY**SIGN UP NOW***...
to: - Directly interacting with and supporting clients, providing them with exceptional service and maintaining a professional demeanor at all times. - Preparing financial statements, property statements, and... other summaries to assist attorneys in accurately assessing clients' financial...
Principal Investigator, NCP - IRG - All FINRA Locations: - Job Title: Senior Principal Investigator, NCP - IRG - Organization: FINRA - Department: Initial Review Group (IRG) - Experience: Substantial experience in the securities/financial industry with increasing levels of...
Title: Senior Real Estate Transactional Attorney Department: Business Group Location: Rockville, MD Salary: $200,000/year Overview: Stein Sperling, a reputable mid-sized law firm in Montgomery County, MD, is seeking a highly experienced Senior Real Estate Transactional Attorney to join our...
registered trademark of the Financial Industry Regulatory Authority, Inc.... FINRA is an Equal Opportunity and Affirmative Action Employer Job Title: Principal Investigator, NCP - All FINRA Locations Experience: Advanced knowledge of relevant FINRA rules and the federal securities...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director within the organization's Cyber and Analytics Unit (CAU) is responsible for leading the Cyber-Enabled Fraud (CEF) team. This role involves oversight of planning and execution of cyber-enabled fraud investigations involving...
Specialist operates within the Financial Intelligence Unit (FIU) of... organization’s National Cause and Financial Crimes Detection Program (NCFC),... focusing on strategic and tactical intelligence to identify emerging risks and threats to investors and the market. Key responsibilities include: - Collaborating across...
Title: Principal Investigator, Specialist Team - All **MEMBERS ONLY**SIGN UP NOW***. Locations Job Responsibilities: The Principal Investigator in the Specialist Team is responsible for conducting high-complexity routine and special investigations of **MEMBERS ONLY**SIGN UP NOW***. member firms. This includes investigating potentially suspicious activities of individuals associated with these...
Title: Examination Director - All FINRA Locations Job Responsibilities: - Manage a team of 4-6 Examination Managers and Senior Principal Examiners. - Provide input and intelligence to inform annual Examination Planning efforts. - Communicate guidance, policies, and key initiatives to staff and management effectively. -...
General Counsel - Commercial Lending Location: Bethesda, MD Salary: $136, to $233, annually Job ID: 2025-1933 Position Type: Full Time Regular Company: EagleBank Department: General Bank Administration Overview: - EagleBank is a values-driven organization prioritizing relationships and delivering...
Firm Staff brings you up to date and high quality legal staff openings in law firms and in-house legal departments of business organizations. In addition, we help solo attorneys hire experienced personnel from the legal industry. We not only have...
compliance or tax consulting services Overview: **MEMBERS ONLY**SIGN UP NOW***., a... Manager for their Tax Credits & Incentives Advisory (TCIA) group. The TCIA practice generates over $20 million in revenue annually and provides a range of services to clients, including cost... segregat...
- Job Category: Professional Services - Requisition Number: TAXCR006289... - Salary Range: $71,820 to $135,900 - Full-Time - Remote within the United States - Locations: Los Angeles, CA; Fort Lauderdale, FL; Coral Gables, FL; Orlando, FL; Tampa, FL; Atlanta, GA;...
Director of Privacy Management - GEICO H2: Join Our Team as the Leader of Our Privacy Program Are you a strategic and dynamic leader with a passion for data protection and privacy? Do you have experience in managing privacy...
Title: Director & Assistant General Counsel - Regulatory Engagement Job Responsibilities: - Oversee the company's day-to-day direct engagement with state insurance department regulators during examinations and other regulatory inquiries/complaints. - Ensure effective representation in securing/negotiating the favorable resolution of pending regulatory matters. - Collaborate...
Associate General Counsel, Bank Regulation and Policy - McLean,... in Capital One Legal Department. This position reports to the Vice President, Chief Counsel, Bank Regulation and Policy and requires... a minimum of 7 years of legal experience. The ideal ca...
- Sr. Manager/Sr. Counsel position in Capital One's Commercial Bank supporting the Corporate Banking business - Opportunity for an experienced attorney to provide legal advice on lending transactions and strategic initiatives - Collaborative and supportive environment that values creativity...
a Tax Manager in Financial Services - Customer Tax... Difference in the Global Financial Services Industry -... within a leading professional services firm - Work with... a diverse and inclusive team in over 150 countries - Supportive work culture...
Title: Tax Manager - Financial Services-Insurance Tax (East Region... East Region (exact locations not provided) Company: **MEMBERS ONLY**SIGN UP NOW***. Department: Business Tax Services (Insurance Industry) H1:... Join **MEMBERS ONLY**SIGN UP NOW***.'s Business Tax Services - Insurance Industry Practice... H2: **MEMBERS ONLY**SIGN UP NOW***. Tax M...
Tax Senior - Financial Services - Wealth and... Asset Management Client Delivery Services - EDGE The candidate... compliance and consulting delivery services to meet deadlines for... or detail review complex financial closings, tax compliance filings... and other tax-related processes or...
Tax Business Tax Services Position Summary ... transparency? Would you like to understand financial services and products across... an... array of industries (banking, asset management, hedge funds, insurance) and how complex withholding tax rules apply domestically and internati...
Compliance Director - Enterprise Services H1: Compliance Director... at Capital One's Enterprise Services Division H2: Join Our... at Capital One's Enterprise Services Division - Focus on... technology transformation and innovative approaches to compliance - Partner with business clients and...
**Tax Senior – Financial Services – Mutual Fund... with a passion for financial products and experience in... in a challenging and fast-paced environment. - Responsible for providing tax compliance and consulting services to Investment Management clients.... - Identify complex...
Title: Tax Manager - Financial Services - Banking &... Capital Markets Tax (East Region City Locations) Experience: 5+ years total corporate tax experience Salary Range: $84,980 to $193,440 Locations: 9 locations in the East Region Position Summary: -...
Manager, Core Tax Services, ASC 740 McLean, VA,... The Core Tax Services (“CTS”) Manager – ASC740... is responsible for advising clients on the tax implications of their business objectives, evaluating and selecting alternative actions to lessen tax burden and...
Senior Manager, Core Tax Services McLean, VA, United States... Job Description Job Summary: The Core Tax Services Senior Manager is responsible... for advising clients on the tax implications of their business objections, evaluating this role, Core Tax Services...
Manager - Lending & Finance Apply locations ... Manager - Lending & Finance Corporate Compliance is... seeking a Compliance Advisor Manager to perform a key risk management role in the second line of defense advising Capital One’s Commercial...
a Manager in Assurance (Financial Accounting Advisory Services) H2:... Global Leader in Professional Services At EY, we... us become even better. As a Manager in Assurance (Financial Accounting Advisory Services), you... will have the... opportunity to build a caree...
Friendly Job Title: Lead Financial Crimes Officer, OFAC Sanctions... Fargo as a Lead Financial Crimes Officer, OFAC Sanctions... Headlines: - Lead Financial Crimes Officer role at... **MEMBERS ONLY**SIGN UP NOW***. - Join the Global Sanctions Office team - Responsible for implementing...