Save your search progress and never miss an update
Risk Monitoring - Any FINRA Location The Organization:... FINRA (Financial Industry Regulatory Authority)... securities firms and brokers. FINRA is responsible for protecting... investors, maintaining market integrity, and promoting fair and orderly markets. Job Title: Associate Principal Analyst,...
FINRA abides by the requirements... of 41 CFR ). This regulation prohibits discrimination against qualified applicants or employees on the basis of race, color, religion, sex, national origin, age, disability, or prohibited by applicable law. FINRA abides by the requirements......
President & Associate General Counsel, Capital Markets Policy - Full Time FINRA is seeking a Vice President & Associate General Counsel, Capital Markets Policy to join their team in various locations including New York, NY, Chicago, IL, Boston, MA, Washington, DC,...
Firm Seeking Financial Services Compliance & Regulatory Associate **MEMBERS ONLY**SIGN UP NOW***., a leading law firm with offices across the United States, is currently seeking a Financial Services Compliance & Regulatory Associate to join their dynamic team. This is...
OverviewA law firm in Chicago, IL, is seeking a Mid-Level to Senior Financial Services Compliance and Regulatory Associate Attorney with extensive experience in compliance and regulatory matters. The ideal candidate will have a robust background in counseling registered investment advisors...
Director The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
programs for MMA Securities, MMA Asset Management, and MMC Securities - Provide legal and regulatory guidance for broker-dealer and investment advisor operations - Directly lead a team of Legal and Compliance professionals - Act as the FINRA and SEC...
Title: Chief Counsel & Chief Compliance Officer Locations: New York, NY; Chicago, IL; Boston, MA Salary Range: $138,700 - $277,300 Responsibilities: - Serve as the trusted adviser for Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan...
Enforcement - Provide Legal and Investigative Support to Enforcement Salary Information: Discretionary bonus in addition to base pay Job Title: Paralegal, Enforcement Experience: Bachelor's degree and/or paralegal certificate or significant relevant experience preferred Essential Job Functions: - Conduct legal research for staff attorneys - Assist with...
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...