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...
About FINRA FINRA is an... in the United States. FINRA works to protect investors... the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not... influenced, by the industry that it regulates. FINRA’s independent regulation pl...
with leadership team. - Handle complex legal matters, including core business operations, capital markets and securities transactions, and corporate governance. - Draft and negotiate transaction agreements, marketing materials, and other legal documents. - Ensure compliance with SEC regulations, FINRA rules,...
Securities and Exchange Commission, FINRA, NYSE, Nasdaq, and the... OTC Markets Group. Must have 5-12 years of experience with strong experience in securities matters. Must be licensed in the home jurisdiction or be eligible for admission without examination. Application...
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...
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...
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...
is responsible for representing FINRA in complex disciplinary and... and the National Adjudicatory Council and providing guidance to other departments within FINRA on related issues. The... ideal candidate will have a law degree and at least ten years of experien...
FINRA 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,...
Title: Senior Counsel - Public Finance Job Responsibilities: - 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...
Risk Monitoring - Any Finra Location locations ... New York, NY (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL...
Investigator, VAST - All FINRA Locations locations ... Boca Raton, FL (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job...
Manager -Trading Specialist Apply Logo locations Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job Posting) Boca Raton, FL (Job Posting) Woodbridge,...
- IRG - Any Finra Location locations ... Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job...
Member Supervision - All FINRA Locations Apply Logo Strategic... Member Supervision - All FINRA Locations Apply Logo ... locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting)...
and Standards - All FINRA Locations Apply Logo ... locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type Full...
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...
at any of their FINRA locations. This is a... full-time position with a requisition ID of R-008962. The main responsibility of this role is to conduct risk monitoring activities and ongoing risk assessments for FINRA members, reporting to a... Risk...
About FINRA FINRA is a... 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,...
Operations, Procedures and Standards Salary Information: - Full-time position - Salary range varies based on location, experience, and qualifications - Minimum salary for each location ranges from $131,100 to $157,300 - Maximum salary for each location ranges from $254,000 to $305,000 - Additional bonuses and benefits...
FINRA 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,...
Organization: FINRA Department: Risk Oversight and... Examination Manager - All FINRA Locations H2: Essential... and staff exams for FINRA member firms and registered... representatives - Review and approve risk and risk identification reviews - Train and mentor exam staff...
FINRA is an Equal Opportunity... sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates. FINRA abides by...
Examination Manager - All FINRA Locations H2: Essential Job... Functions Organization: FINRA Job Title: Examination Manager... Locations: All FINRA Locations Employment Type: Full... time Salary Range: $111,400 - $242,600 (depending on location and qualifications) Job Requisition ID: R-009059 Posting...
Cause Program (NCP) at FINRA is seeking a Principal... data analysis. The ideal candidate will have a Bachelor's degree or equivalent experience, advanced knowledge of FINRA rules and securities laws,... and strong investigative and communication skills. Job Title: Pr...
2021 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. **MEMBERS ONLY**SIGN UP NOW***... is a registered trademark... - Capital Markets Organization: FINRA (Financial Industry Regulatory Authority)... education and experience H1: Join the Team as a Principal Analyst in Risk Monitoring for Capital Markets at **MEMBERS ONLY**SIGN UP NOW***...
FINRA is seeking an experienced... (IRG) team at all FINRA locations. This is a... full-time position with a competitive salary based on experience and location. As an Associate Principal Investigator, you will be responsible for performing intake and assessment of...
Risk Representatives - All FINRA Locations H2: Conduct... Risk Representatives Organization: FINRA Department: Specialist Teams... Location: All FINRA Locations (New York, NY;... Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Jersey...
and Standards - All FINRA Locations Full time... R-009155 FINRA is currently seeking a... Director of MS Operations, Procedures and Standards to join our team in various locations including Rockville, MD, Jersey City, NJ, Jericho, NY, Denver,...
- IRG - All FINRA Locations H1 Heading:... Join FINRA as an Associate Principal... - Salary Information - Time Off and Paid Leave - Important Information - Search Firm Representatives Bold Headlines: - FINRA's Initial Review Group (IRG......
and Standards - All FINRA Locations H2: Experienced Individual... Procedures and Standards Organization: FINRA Department: Member Supervision Operations,... OPS) Experience: Experienced individual contributor Salary Range: $95,300 - $206,200 (varies by location and experience) Job Summary: FINRA is seek...
Capital Markets - All FINRA Locations H2: Conduct Risk... Activities and Assessments for FINRA Members Organization: **MEMBERS ONLY**SIGN UP NOW***... Salary Information: -... CA: Minimum Salary $109,600, Maximum Salary $206,200 - CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800 - IL*: Minimum...
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...
Risk Monitoring - All FINRA Locations Apply Logo ... Risk Monitoring - All FINRA Locations H2: Job Summary... Organization: FINRA Job Title: Principal Analyst,... ID: R-009196 Posted On: Posted Today FINRA is currently seeking a... highly experienced Pri...
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,...
- IRG - All FINRA Locations: - Salary... of the salary range. FINRA provides full pay ranges... growth potential while at **MEMBERS ONLY**SIGN UP NOW***. - Job title: Senior... - IRG - All FINRA Locations - Experience information:... Experience in the securities/financial...
- IRG - All FINRA Locations (Open) Full... Requisition ID: R-009227 FINRA's Initial Review Group (IRG)... is seeking an experienced and knowledgeable Associate Principal Investigator to join our team. The IRG is responsible for reviewing and analyzing regulatory...
FINRA seeks an Associate Principal... Group (IRG) at all FINRA locations. This full-time position... involves reviewing and analyzing regulatory intelligence received from various sources, such as internal sources, regulatory tips, customer complaints, and referrals from other regulators. The Associate Principal...
Advisor III - Dallas / Fort Worth: - Available in 2 locations - Category: Wealth, Brokerage and Premier Banking - Posted Date: 08/28/2024 - Regular or Temporary: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States...
now. SEO friendly job title: Family Office Solutions Client Specialist – Central Region H1: Join **MEMBERS ONLY**SIGN UP NOW***. as a Family Office Solutions Client Specialist H2: About the Role H2: Your Responsibilities H2: Your Team...
regulatory intelligence received by FINRA through various sources, including... filings. They will collaborate with other internal and external stakeholders to gather relevant information and make recommendations for the appropriate regulatory response. This role requires strong knowledge of relevant FINRA r...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director within the organization's Cyber and Analytics Unit is responsible for leading the Cyber-Enabled Fraud (CEF) team. This team oversees the planning and execution of cyber-enabled fraud investigations involving member firms....
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist within the Financial Intelligence Unit (FIU) of the organization's National Cause and Financial Crimes Detection Program (NCFC) is tasked with a variety of critical functions. These include the...
Title: Senior Compliance Analyst (Regulatory Requests) Job Responsibilities: The Senior Compliance Analyst plays a pivotal role within the compliance program at the company. The primary responsibilities of this position include: - Providing general regulatory and compliance-related updates to ensure ongoing rule compliance across...
Financial Crimes - Compliance Testing, Vice President Apply locations Irving, TX time type Full time posted on Posted 2 Days Ago job requisition id 10068625-WD Do you want your voice heard...
Financial Crimes Officer, OFAC Sanctions - Full time R-448412 About the company: - **MEMBERS ONLY**SIGN UP NOW***. is a leading financial services company that provides banking, investment, mortgage, and consumer and commercial finance products and services. - With over...
Firm Seeking Securities Litigation & Regulatory Associate Attorney in Dallas, TX **MEMBERS ONLY**SIGN UP NOW***., a national law firm, is seeking a Securities Litigation & Regulatory Associate Attorney to join our Dallas office. This is a great opportunity for an experienced attorney...
job title: Insurance and Wealth Management Attorney - Vice President, Assistant General Counsel H1: Join Our Team as an Insurance and Wealth Management Attorney H2: Exciting Opportunity at JPMorgan Chase & Co. Bold Headline: Seeking Experienced Attorney...
Title: Corporate (Securities) AttorneyJob Overview: A respected law firm located in Dallas, TX, is seeking a seasoned attorney with deep experience in securities regulations and corporate filings. This role is ideal for a professional who thrives in a fast-paced, detail-oriented...