Financial is seeking an experienced attorney to join its corporate legal advice team as Senior Vice President, Associate General Counsel. This position is responsible for providing strategic legal advice to various business units within the company and will report to...
H1: VP Assistant General Counsel - Institution Services at **Members Only** H2: Join Our Team and Make a Difference! Job Title: Vice President, Assistant General Counsel Company: **Members Only** Department: Institution Services Legal Team Location: Fort Mill,...
is seeking an experienced Compliance Officer to join their team in Arlington, VA. As a senior member of the team, the Compliance Officer will play a vital role in ensuring Homestead’s adherence with federal securities rules and regulations. The Compliance...
Title: Assistant General Counsel - Secretary & Securities Governance Job Responsibilities: The Assistant General Counsel - Secretary & Securities Governance at the company is a pivotal leadership role responsible for managing corporate governance, securities compliance, and regulatory matters. The primary duties include...
Title: Assistant General Counsel - Secretary & Securities Governance Job Responsibilities: The Assistant General Counsel - Secretary & Securities Governance is a pivotal leadership role tasked with managing corporate governance, securities compliance, and regulatory matters for the company. The responsibilities include: -...
large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...
legal industry. We not only have the best **Members Only** positions, but we also have the most. Paralegal - Litigation The candidate will assists in filing of pleadings, arbitrator selection, production and management of documents and hearing preparation in FINRA...
Title: VP, Associate General Counsel- Litigation and Arbitration Experience: At least 7-8 years of arbitration/litigation experience, preferably in the financial services industry Location: San Diego, New York, Fort Mill/Charlotte, Washington ., Boston Time Type: Full time Requisition ID: R-042688...
Title: Senior Counsel - Public Finance Job Responsibilities: The Senior Counsel in the Public Finance department is expected to provide transactional support and regulatory advice to the company's national Public Finance business. The role involves performing significant and complex legal work while...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the life cycle of new regulatory initiatives, serving as a subject matter resource in areas of legal expertise, including crypto assets. - Advise the Board of Governors and...
Title: Senior Litigation Counsel, Enforcement Services Job Responsibilities: The Senior Litigation Counsel operates with minimal supervision to manage and litigate both non-disciplinary and disciplinary proceedings nationwide. These proceedings are typically filed with the Office of Hearing Officers (OHO), and the counsel is...
Title: Senior Securities Counsel Job Responsibilities: The Senior Securities Counsel at the organization engages in a wide array of financial services and asset management-related legal issues. The primary responsibility is to provide counsel and advice to various internal business and compliance departments...
Title: Associate General Counsel, Regulatory Job Responsibilities: The Associate General Counsel, Regulatory is responsible for managing the entire life cycle of adopting new regulatory requirements. This position involves providing expert legal advice to the Board of Governors and senior management on complex...
Title: Managing Director, Legal Digital Assets Job Responsibilities: - Provide specialized support to the Chief Counsel covering specific segments of trading, markets, and operations for digital assets and blockchain technology. - Regularly interact with senior-level business partners, including the Heads of Trader and...
Organization: FINRA is a not-for-profit organization... in the United States. FINRA, overseen by the SEC,... and enforces compliance with FINRA rules and federal securities... laws, registers broker-dealer personnel and offers them education and training, and informs the investing public....
and Standards - All FINRA Locations - H1 and... and Standards - All FINRA Locations - Bold headlines:... and Standards - All FINRA Locations - Organization: **Members Only**.. - Department: Member Supervision... Operations, Procedures and Standards (MS OPS) - Job title:...
of Examinations - All FINRA Locations H1: Join FINRA as... Firm Group Examination Program Organization: FINRA Department: Member Supervision Salary Information: - Minimum... salary ranges from $154,100 to $185,000 depending on location - Maximum salary ranges from $301,400 to $361,700 depending on location - Actual compensation based...
Risk Monitoring - All FINRA Locations Location: Multiple... locations including New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD; Philadelphia,...
- IRG - All FINRA Locations Salary Information:... - Locations: - Los Angeles, CA (Minimum Salary $94,200, Maximum Salary $176,000) - Jersey City, NJ (Minimum Salary $98,300, Maximum Salary $176,000) - Jericho, NY (Minimum Salary $98,300,...
- IRG - All FINRA Locations - Full-time... - Opportunity for growth and advancement within FINRA - Centralized unit for... intake, review, and analysis of regulatory intelligence - Investigative role focusing on identifying and escalating higher-risk matters - P...
- IRG - All FINRA Locations (Open) **Members Only**.. is currently seeking an... Associate Principal Investigator to join our Initial Review Group (IRG) team. As an Associate Principal Investigator, you will play a critical role in the intake, review, and...
Associate/Manager (Securities) - Washington, . - **Members Only** H2: Join Our Team! Mid-Level Associate/Manager (Securities) Position at Leading Compliance and Regulatory Strategy Firm **Members Only**, a leading compliance and regulatory strategy firm, is seeking a...
Join **Members Only** as a Family Office Design & Governance Strategist H2: Global Wealth Management Role with Competitive Salary Family Office Design & Governance Strategist at **Members Only** - Location: Atlanta, Chicago, Dallas, Houston, Los Angeles, Miami, San Francisco -...
position available in all FINRA locations. - Full-time position... with hybrid work environment and extended hours as needed. - Responsible for developing, implementing, and maintaining operations, procedures, standards, and reporting. - Leads the establishment of centralized operational processes to increase...
All Locations Organization: FINRA Department: Initial Review... Group (IRG) Location: Multiple Locations (Boston, MA; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD;...
Friendly Job Title: Associate Principal Investigator, NCP - IRG - All **Members Only** Locations H1: Join the Team as an Associate Principal Investigator at **Members Only** H2: Investigate Regulatory Intelligence at **Members Only** as an Associate Principal Investigator Organization: **Members Only**...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director within the organization’s Cyber and Analytics Unit (CAU) is tasked with leading the Cyber-Enabled Fraud (CEF) team. This team is responsible for planning and executing investigations into cyber-enabled fraud involving...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist is a crucial role within the Financial Intelligence Unit (FIU) of the organization’s National Cause and Financial Crimes Detection Program (NCFC). The primary responsibilities include: - Collaborating with internal and...
Title: Principal Investigator, Specialist Team - All **Members Only** Locations Job Responsibilities: The Principal Investigator within the Specialist Team is responsible for conducting high complexity routine and special investigations of **Members Only** member firms. This includes investigating potentially suspicious activities of individuals associated with...
Title: Examination Director Job Responsibilities: - Manage 4-6 Examination Managers and Senior Principal Examiners in a high-visibility role. - Share input and intelligence to inform annual Examination Planning efforts. - Communicate guidance, policies, and key initiatives effectively to staff and management. - Develop talent and...
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator, Specialist Team is tasked with conducting high complexity routine and special investigations of member firms and investigating potentially suspicious activities of persons associated with these firms. Key responsibilities include: - Identifying risks, developing...
mitigate legal and regulatory risks in commercial activities. - Collaborate with business colleagues to assess and mitigate the company's risk profile. - Maintain relationships with regulators and manage relevant examinations. - Expertise in SEC, FINRA, NFA, ERISA, and other... US sales and marketing...
Title: Wealth Advisor Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth wealth clients. - Develop and deepen client relationships through high-level client service and delivery of the full suite of company Wealth solutions. - Acquire...
Title: Director, Head of Surveillance Job Responsibilities: As the Director, Head of Surveillance at the company, you will be responsible for managing the company's Electronic Communications Surveillance Program and Trade Surveillance for the company's Commodity Futures Trading Commission (CFTC) Swap Dealer and...
Title: Wealth Strategist Sr. - Private Bank Job Responsibilities: - Develop, consult on, and implement tax, estate, and financial plans for clients, including those of the greatest complexity. - Collaborate with other planning resources on specific subject matters of greatest complexity and partner...
is seeking an Associate Principal Investigator to join their Initial Review Group (IRG) team at various locations across the United States. The Associate Principal Investigator will be responsible for performing intake and assessment of regulatory intelligence received through various sources,...
About FINRA FINRA is a... Regulatory Authority, Inc. FINRA is an Equal Opportunity... Investigator, NCP - All FINRA Locations Experience: Advanced knowledge... of relevant FINRA rules and the federal... securities laws and demonstrated investigative experience. Advanced knowledge of...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the life cycle of new regulatory initiatives, particularly in the crypto assets domain. - Advise the Board of Governors and advisory committees on complex regulatory initiatives and rule...
Title: Senior Litigation Counsel, Enforcement Services Job Responsibilities: The Senior Litigation Counsel operates with minimal supervision to manage litigation for nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to handle appeals before the National Adjudicatory Council...
All FINRA locations are open to... report to your designated FINRA office on a temporary... requirements in accordance with FINRA policy and all applicable... laws and regulations. These requirements include but are not limited to, mandatory vaccinations for all employees,...
Director, Examinations - All FINRA Locations FINRA is... firm grouping at all FINRA locations. This is a... and benefits package. Join FINRA and make a difference... in the financial industry by ensuring fair and ethical practices. Key Responsibilities:...
Capital Markets - All FINRA Locations - Conduct risk monitoring... 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 in leadership roles for special projects...
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: FINRA Department: Risk Monitoring... Salary...
- IRG - All FINRA Locations: - Job... - IRG - Organization: FINRA - Department: Initial Review... Group (IRG) - Experience: Substantial experience in the securities/financial industry with increasing levels of responsibility - Education: Bachelor's degree or equivalent relevant...
- IRG - All FINRA Locations (Open) H1: Join... FINRA as an Associate Principal... Investigate Regulatory Intelligence at FINRA's IRG Department Organization:... FINRA Department: Initial Review Group... (IRG) Job Title: Associate Principal Investigator, NCP - IRG - All Locations...
Location: Rockville, MD Organization: FINRA Job Type: Full-time ... H1: Join FINRA as a Corporate Actions... salary and benefits! FINRA, a leading regulatory organization... in the financial industry, is seeking a Corporate Actions Analyst to join their Transparency Services...
law firm in Washington, DC, is seeking a Senior Corporate Securities Associate Attorney or Counsel to join their team. The ideal candidate will have extensive experience in securities law and corporate governance, with a strong background in public company regulations...