Provide transactional support and regulatory advice to the company's... national Public Finance business. - Perform significant and complex legal work while regularly interacting with management. - Oversee legal research, analysis, consultation, and documentation within a framework of legal compliance and risk management. -...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color,...
Litigation Counsel, Enforcement Services The Senior Litigation Counsel, Enforcement Services, is responsible for representing FINRA in complex disciplinary and non-disciplinary proceedings nationwide. This role will involve litigating cases before the Office of Hearing Officers and the National Adjudicatory Council...
competitive salary based on experience and location. As an Associate Principal Investigator, you will be responsible for performing intake and assessment of regulatory intelligence received through various... sources, including internal sources, regulatory tips, customer complaints, and... firm regulatory filings. Y...
Associate Principal Investigator, IRG, is responsible for intake and assessment of regulatory intelligence received by **MEMBERS ONLY**SIGN UP NOW***... sources, including internal sources, regulatory tips, customer complaints, and... firm regulatory filings. They will collaborate... recommendations for the appropriate regulatory response. This role requires......
registered trademark of the Financial Industry Regulatory Authority, Inc.... FINRA 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,...
registered trademark of the Financial Industry Regulatory Authority, Inc.... Capital Markets Organization: FINRA (Financial Industry Regulatory Authority) Department:... Risk Monitoring Experience: Senior level Salary: Based on location and factors such as education and experience H1: Join the Team as...
Principal Investigator, High Risk Representatives - All FINRA Locations H2: Conduct High Complexity Investigations and Provide Guidance to Member Supervision Staff Job Title: Principal Investigator, High Risk Representatives Organization: FINRA Department: Specialist Teams Location: All...
Director, Examinations - All FINRA Locations Salary Information: - Salary ranges vary based on location and other factors such as experience and education - Full-time position with benefits including health, dental, and vision insurance, 401(k) plan with company match, and...
Standards - Organization: FINRA (Financial Industry Regulatory Authority) -... Location: All FINRA locations - Time Type: Full Time - Job Requisition ID: R-009247 - Experience: Minimum of 8 years of relevant experience - Education: Bachelor's degree in Accounting, Finance, Economics,...
United States of America United States of America Irvine, CA, United States Melville, NY, United States Sunrise, FL, United States Houston, TX, United States Overland Park, KS, United States Jersey City, NJ, United...
Global Financial Crimes - Compliance Testing,... Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of... the world’s leading financial groups. Across the globe,... we’re 120,000 colleagues, striving to make a difference for every client, organization, and commu...
Senior Officer 1 (Hybrid) Apply remote type Hybrid locations Tampa Florida United States Irving Texas United States time type Full time posted on Posted 2 Days Ago job requisition id...