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disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). Essential Job Functions: Represent FINRA in a first or... second chair capacity in complex disciplinary proceedings involving violations of the...
OverviewA law firm in Washington, DC, is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney to join its team. The ideal candidate will have substantial experience in compliance and regulatory matters, specifically with registered investment advisors...
Assistant General Counsel, Labor & Employment provides strategic legal advice to the company on labor and employment matters, including but not limited to, compliance obligations under federal, state, and local laws, threatened or pending legal claims or litigation, agency investigations,...
Honors Associate, FINRA Enforcement Program Job... Summary: The FINRA Enforcement Associates, Honors Program... Associates gain hands-on legal experience, specialized knowledge about the financial industry, and participate in a robust training program. Job Title: Honors Associate, FINRA En...
exposure to securities, investment management, banking, derivatives, and Fintech (including digital assets and payments) - Experience with regulatory enforcement matters (. SEC, CFTC, FINRA) is a plus ... Company Overview: - **MEMBERS ONLY**SIGN UP NOW***. is one of the largest in...
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...
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,...
Director, Investigations - All FINRA Locations The organization... FINRA is currently seeking a... Senior Director, Investigations to lead and implement the strategic direction of the Cause Investigations program across all FINRA locations. This is a... full-time position and the...
Investigator, VAST - All FINRA Locations - Full... - Located in various FINRA locations across the United... States - Responsible for complex risk-based investigations of FINRA member firms and registered... Provides consultation services to FINRA staff and participates in......
H1: FINRA is Hiring a Principal... Intelligence Specialist for All FINRA Locations H2: Join the... Investor Protection Organization: FINRA (Financial Industry Regulatory Authority)... Full-time Overview: FINRA's Financial Intelligence Unit (FIU)... their team in all FINRA locations. This...