Paralegal (Securities) - Florham Park, NJ **MEMBERS ONLY**SIGN UP NOW***., a national law firm, is seeking a Paralegal to join their Securities Practice Group in their Florham Park, NJ office. This is a full-time position with regular business hours and a competitive...
Securities Enforcement Defense Attorney at Law Firm in New York and New Jersey H2: Join Our Team at CSG Law At CSG Law, we are seeking a senior-level associate/counsel to join our Securities Enforcement defense team. The ideal candidate...
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...
**MEMBERS ONLY**SIGN UP NOW***. **MEMBERS ONLY**SIGN UP NOW***. is a registered trademark of the Financial Industry Regulatory Authority, Inc. **MEMBERS ONLY**SIGN UP NOW***. is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, gender, national origin, age, disability, veteran...
Essential Job Functions - Represents FINRA in complex disciplinary proceedings... securities law violations - Represents FINRA in non-disciplinary hearings and... litigation related to expedited proceedings - Argues appeals before the National Adjudicatory Council - Provides guidance and advice on statutory disqualification, membership application denials,...
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,...
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...
other factors. H1: Join FINRA as an Associate Principal... as an Associate Principal Risk Monitoring Analyst at FINRA FINRA is currently seeking a... qualified candidate for the position of Associate Principal Risk Monitoring Analyst at any of our FINRA locations. A...
Principal Analyst, Fixed Income Regulation - Salary Information, Job Title, Experience Overview: - The Lead Principal Analyst in Fixed Income Regulation is responsible for developing, implementing, and supporting FINRA’s fixed income national program. - This position requires excellent...
Operations, Procedures and Standards: - Responsible for providing strategic leadership and guidance, establishing procedures and standards, and advising and collaborating with various groups conducting reviews of the program, including the SEC, Internal Audit, and Quality Assurance. - Develops controls...
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,...
is $242,. Organization: FINRA is a registered trademark... Job Title: Examination Manager Experience Level: Mid-Senior Level Salary Range: $111,400 - $242,600 H1: Examination Manager - All FINRA Locations H2: Manage... and Lead Risk-Based Examina...
and critical role within FINRA's National Cause Program (NCP).... Cause investigations. The ideal candidate will have advanced knowledge of FINRA rules and federal securities... laws, as well as demonstrated investigative experience. They will also possess strong written and verbal communicatio...
Join Our Team at FINRA - Multiple Locations Available... Summary: Join FINRA as a Principal Analyst... as opportunities for growth within the organization. Apply now to become part of our team! Key Responsibilities: - Develop and implement policies for FINRA's arbitration program...
IRG Job Description: FINRA is seeking an Associate... Principal Investigator, NCP - IRG to join our Initial Review Group team in various locations across the US. The Associate Principal Investigator will be responsible for reviewing and assessing regulatory intelligence...
High Risk Representatives - FINRA H1: Join **MEMBERS ONLY**SIGN UP NOW***... as a Principal Investigator,... High Complexity Investigations for FINRA Member Firms Organization:... FINRA (Financial Industry Regulatory Authority)... Department: Specialist Teams Job Type: Full Time Salary Range: $92,500...
Dispute Resolution Organization: FINRA (Financial Industry Regulatory Authority)... Location: Various (Chicago, IL; Jersey City, NJ; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Rockville, MD; New York, NY; Los Angeles, CA) Time Type: Full Time Salary Range:...
Procedures and Standards - FINRA Locations: Rockville, MD;... Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Philadelphia, PA; New York, NY; Los Angeles, CA...
Investigator, NCP - All FINRA Locations Job Title:... - IRG - All FINRA Locations Organization: FINRA Department:... Group (IRG) Location: All FINRA locations listed below Salary... Range: Varies by location (see below for details) Introduction: FINRA’s Initial...
Job Title: FINRA Legal Extern, Enforcement (UNPAID)... across the US Organization: FINRA Job Type: Part-time (twice... securities industry experience is a plus H1: FINRA Legal Extern, Enforcement -... Fall 2025 Semester (UNPAID) H2: Join FINRA as a Legal ......
and Standards - All FINRA Locations Job Title:... Principal Analyst, MS Operations, Procedures and Standards Department: Member Supervision Operations, Procedures and Standards (MS OPS) Organization: FINRA Locations: All FINRA Locations... (see list below) Time Type: Full Time Posted On:...
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, Examinations - All FINRA Locations Job Title: Senior Director,... Examinations Experience: Significant experience in securities, compliance, or financial regulatory roles Salary: Varies based on location and qualifications, ranging from $154,100 to $361,700 Locations: - New York, NY (Job Posting) - Jersey City,...
Risk Monitoring - All FINRA Locations H2: Apply Now... for a Senior-Level Position with a Leading Financial Industry Regulatory Authority Organization: FINRA Department: Risk Monitoring Job... Title: Principal Analyst, Risk Experience: Prior experience with FINRA's Exam and/or Risk Monitoring......
Join the Team at FINRA as a Senior Principal... Make a Difference in Investor Protection and Market Integrity at FINRA FINRA is seeking a Senior... Principal Analyst to join their team at all FINRA locations. This experienced individual... contributor will...
- IRG - All FINRA Locations H1 Heading: Join **MEMBERS ONLY**SIGN UP NOW***... as a Senior Principal... Investigator and Help Protect Investors H2 Headings: - Proactively Respond to Significant Increases and Changes in Filings - Lead and Strategize on Departmental Response to Market Events - Collaborate with Senior...
NCP - IRG - FINRA H1 heading: Join... FINRA as an Associate Principal... Investigate Regulatory Intelligence at FINRA as an Associate Principal... Investigator Bold headline: FINRA is Hiring an Associate... All Locations Organization: FINRA (Financial Industry Regulatory Authority)......
- IRG - All FINRA Locations: - SEO friendly... - IRG - All FINRA Locations - H1 heading: Join... Associate Principal Investigator at FINRA - H2 headings: About the... Information, Search Firm Representatives About the Role: FINRA's Initial Review Group (IRG)... is se...
Capital Markets position at FINRA is a senior-level role... ongoing risk assessments of FINRA members. This role reports... to a Risk Monitoring Director and collaborates with internal departments to analyze and communicate regulatory intelligence. The ideal candidate has a Bachelor's...
you directly to the FINRA Careers site, enter ... our site directly. FINRA strives to make our... career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director in the Cyber and Analytics Unit (CAU) is responsible for leading the Cyber-Enabled Fraud (CEF) team. This position involves overseeing the planning and execution of cyber-enabled fraud investigations concerning member...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist at the Financial Intelligence Unit (FIU) within the organization’s National Cause and Financial Crimes Detection Program (NCFC) is responsible for executing various functions to support the specialized unit's mission....
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator, Specialist Teams, is responsible for conducting high complexity routine and special investigations of organization member firms. This role involves investigating potentially suspicious activities of persons associated with organization member firms and providing...
Title: Examination Director Job Responsibilities: - Manage a team of 4-6 Examination Managers and Senior Principal Examiners, offering opportunities to coach, develop, and mentor the team. - Contribute input and intelligence for annual Examination Planning efforts to ensure effective oversight. - Communicate guidance, policies,...
Title: Principal Investigator, Specialist Team Job Responsibilities: - Conduct high complexity routine and special investigations of member firms. - Investigate potentially suspicious activities of persons associated with member firms. - Provide guidance to Member Supervision staff on complex assignments. - Proactively surveil the industry to...
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...
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,...
Vice President, Enforcement Legal - FINRA H2: Join Our Team... as a Vice President, Enforcement Legal at FINRA! Bold Headlines: ... - Lead and manage attorney teams in high-impact investigations Provide exemplary service to FINRA's regulatory service agreement customers......
Title: Assistant Vice President - Employment Counsel Experience: 4-6 years Salary: $175,000 to $210,000 annually Job Summary: - The Assistant Vice President - Employment Counsel position is responsible for providing legal advice and counsel regarding all employment legal...
the IRG Team at FINRA as an Associate Principal... Investigator H2 headings: Investigate Regulatory Intelligence at FINRA Essential Job Functions... Education/Experience Requirements Competitive Salary and Benefits Apply - IRG - All FINRA Locations FINRA, the......
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...
Risk Monitoring Analyst at FINRA, you will play a... and assessing risks within FINRA member firms. This is... a mid-level position with opportunities for growth and development, reporting to a Risk Monitoring Director. You will work closely with other departments...
Lead Principal Analyst, Fixed Income Regulation Salary Range: $111,400 - $242,600 Organization: FINRA Department: Fixed Income... Regulation Location: New York, NY; Jersey City, NJ; Jericho, NY; Woodbridge, R-009035 Overview: FINRA is currently seeking a......
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...
Operations, Procedures and Standards - Full Time Salary Information: - Minimum salary range: $131,100 - $150,600 - Maximum salary range: $254,000 - $305,000 - Actual compensation based on factors such as skill set, experience, education, and internal peer comparisons...
Member Supervision - Any FINRA Location H2: Essential Job... Functions: - Lead a team of Senior Analysts responsible for intelligence gathering and dissemination, providing critical leadership and guidance - Establish internal policies and procedures for timeliness and quality of...
law firm is seeking a Securities Litigation Associate Attorney to join their team in Florham Park, NJ. The ideal candidate will have 4-6 years of substantive experience in securities litigation and regulatory practice, working on a variety of matters, including...