of Broker Compliance Job Title: Head of Broker Compliance Job Responsibilities: As the Head of Broker Compliance, the primary responsibilities involve designing, implementing, and overseeing the broker compliance program to ensure alignment with federal, state, and international regulatory requirements. Key duties include: - Broker Compliance...
Title: Financial Services - Regulatory Compliance - Capital Markets - Senior Manager Job Responsibilities: - Lead large-scale client engagements and consistently deliver quality client services. - Drive high-quality work products within expected timeframes and on budget. - Monitor progress, manage risk, and ensure key...
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator in the Specialist Team is responsible for conducting high-complexity routine and special investigations of organization member firms. This includes investigating potentially suspicious activities of individuals associated with these member firms. The role...
Specialist Team - All FINRA Locations Job Responsibilities: The Principal Investigator,... and special investigations of FINRA member firms. This includes... of persons associated with FINRA member firms and providing... guidance to Member Supervision staff on their complex assignments. The position involves proactively...
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...
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 overseeing the planning and execution of investigations into...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist plays a crucial role within the Financial Intelligence Unit (FIU) of the organization’s National Cause and Financial Crimes Detection Program (NCFC). The primary mission of the FIU is to...
regulatory intelligence received by FINRA's Initial Review Group (IRG)... will have a strong understanding of FINRA rules, federal securities laws,... and the securities markets, and will collaborate with internal and external stakeholders to gather relevant information and make recommendations for...
Join Our Team as an Insurance and Wealth Management Attorney - Vice President, Assistant General Counsel H2: About the Position: - Job title: Insurance and Wealth Management Attorney - Vice President, Assistant General Counsel - Location: Columbus, OH and 5...
are currently seeking a Wealth Management and Consumer Banking Litigation Attorney - Vice President, Assistant General Counsel to join our dynamic legal team at . Morgan. In this role, you will be responsible for managing complex litigation matters in the...
Points: - Seeking a Client Specialist for the Central Region with a focus on Family Office Solutions - Responsible for engaging with advisors and clients to deliver the FOS offering and working with subject matter experts from other areas of the firm -...
– IRG – All FINRA Locations: - SEO... Senior Principal Investigator at FINRA - H1 heading: Join... FINRA as a Senior Principal... - IRG - All FINRA Locations FINRA, or... Financial Industry Regulatory Authority, is currently hiring for...
- IRG - All FINRA Locations The Associate... Principal Investigator, NCP - IRG, is responsible for reviewing and analyzing regulatory intelligence received through various sources, and making recommendations for appropriate regulatory responses. This includes conducting investigations, collaborating with internal...
- IRG - All FINRA Locations (Open) Salary... Information: - Salary ranges from $81,900 to $176,000, depending on location and qualifications - Additional discretionary bonuses and overtime pay may be available - Comprehensive benefits package includes health, dental, and...
Compliance Manager locations Chicago, IL Stamford, CT time type Full time posted on Posted 5 Days Ago job requisition id 106819 About Northern Trust: Northern Trust, a Fortune 500 company,...
Counsel – Alternative Investments: H1: Join a Globally Recognized Financial Institution as Legal Counsel, Alternative Investments H2: Remote Hybrid Position in Chicago, IL with Fortune 500 Company Are you a highly motivated attorney with experience in alternative...
MD; Philadelphia, PA; Los Angeles, CA Organization: FINRA (Financial Industry Regulatory Authority)... Time Type: Full time Posted on: Posted Today Job Requisition ID: R-009188 Essential Job Functions: - Leading attorney teams in timely and...
Risk Monitoring - All FINRA Locations FINRA is... currently seeking a Principal Analyst, Risk Monitoring to join our team in various locations across the US. The ideal candidate will have experience in risk monitoring and assessments, as well as...
and Standards - All FINRA Locations Salary Information:... Minimum salary ranges from $111,400 to $133,700, maximum salary ranges from $202,100 to $242,600, based on location and other factors such as skills and experience. Overtime pay may...
FINRA Legal Extern, Enforcement (Fall... federal securities laws and FINRA and MSRB rules by... regulated firms and individuals. - This is an unpaid position for the Fall 2025 semester, providing students with the opportunity to gain valuable experience in the securities...
Procedures and Standards - FINRA - Full time -... R-009197 - Regulatory initiatives - Partnering with key stakeholders - Regulatory change process - Enhancing and developing processes - Knowledge of securities industry rules and regulations - Partnering with external stakeholders...
- Capital Markets at FINRA is a senior-level position... ongoing risk assessments of FINRA members. This position reports... to a Risk Monitoring Director and supports the direct manager in identifying existing and emerging risks, and interactions with internal and external...
Director, Examinations - All FINRA Locations Salary: Dependent... Education: Bachelor's degree in Accounting, Finance, Economics, Business Administration, or related field; MBA, JD, or other relevant graduate degree preferred Organization: FINRA (Financial Industry Regulatory Authority)... Department: Member Supervi...
- IRG - All FINRA Locations The Associate... regulatory tips, customer complaints, and firm regulatory filings. They will work to quickly identify and escalate higher-risk matters, demonstrating competency in investigative techniques and a strong understanding of relevant FINRA rule...
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,...
High Risk Representatives - FINRA H1: Join **MEMBERS ONLY**SIGN UP NOW***... as a Principal Investigator... a Principal Investigator with FINRA Organization: FINRA ... Time Experience: Expert level Job Requisition ID: R-008844 About FINRA: FINRA is the... Financial...
FINRA also provides a comprehensive... benefits package. Organization: FINRA Department: Risk and... Examinations Job Title: Examination Manager Experience: Significant securities, compliance or financial regulatory experience required, moderate experience managing projects and/or people preferred Education: Bachelor's...
and Standards - All FINRA Locations H2: Strategic leadership... risk framework Organization: FINRA (Financial Industry Regulatory Authority)... Department: Member Supervision Operations, Procedures and Standards Job Title: Director, MS Operations, Procedures and Standards Job Type: Full-time Salary:...
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...
- IRG - All FINRA Locations Locations: -... New York, NY (Job Posting) - Jersey City, NJ (Job Posting) - Jericho, NY (Job Posting) - Denver, CO (Job Posting) - Dallas, TX (Job Posting) - Boston, MA (Job Posting)...
Principal Analyst, Dispute Resolution is a full-time position located in various locations including Chicago, IL, Jersey City, NJ, Boca Raton, FL, Woodbridge, NJ, Washington, DC, Rockville, MD, New York, NY, and Los Angeles, CA. The salary for this position ranges...
NCP position available at FINRA (Financial Industry Regulatory Authority)... - Investigates potential fraud or misconduct in the securities industry - Conducts background searches and gathers regulatory intelligence - Evaluates records and conducts interviews of relevant parties - Identifies trends and...
FINRA is an Equal Opportunity... Supervision H1: Join FINRA as a Senior Director... of Financial Intelligence Fusion Center H2: Lead and Develop the New FIFC Team at a Leading Financial Regulatory Organization Bold Headlines: - Lead a...
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...
our team at all FINRA locations. As the Examination... of risk-based examinations of FINRA member firms and registered... representatives. You will also have the opportunity to train and mentor exam staff and direct reports, as well as promote open dialogue...
Title: Director, Operations, Procedures and Standards Experience: Significant securities, compliance or financial regulatory experience Salary Information: - California: Minimum Salary $150,600, Maximum Salary $305,000 - Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $131,100, Maximum Salary $254,000 - Illinois: Minimum Salary $144,000, Maximum Salary $279,500...
We are seeking an experienced Associate Principal Analyst to join our Risk Monitoring team at **MEMBERS ONLY**SIGN UP NOW***. In this role, you... will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. The role reports... t...
About FINRA FINRA is a... Regulatory Authority, Inc. FINRA is an equal opportunity... or other legally protected status. FINRA strives to make our... career site accessible to all users. If you need a disability-related accommodation for comp...
Salary information: Salary will be based on experience and qualifications. Job Title: Associate Director, Compliance Experience information: 3-5 years of experience working in financial services or a recent law graduate with experience in financial services or fintech....
Title: Principal Analyst, Dispute Resolution Job Responsibilities: - Develop and implement policies regarding the organization's arbitration program, ensuring uniform, consistent, high-quality dispute resolution services in coordination with senior management. - Advise regional offices on various case administration issues as necessary and develop and...
Summary: Organization: FINRA Job Title: Principal Analyst,... Capital Markets - All FINRA Locations Experience: Senior-level position... risk monitoring activities and ongoing risk assessments of FINRA members - Collaborate with... internal departments to analyze and communicate regulatory intelligence - Men...
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...
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...
Risk Monitoring Analyst H1: Join FINRA as an Associate Principal... Conduct Risk Monitoring for FINRA Members FINRA, the Financial Industry... our team. In this role, you will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, repor...
Summary: Organization: FINRA (Financial Industry Regulatory Authority)... Position: Associate Principal Risk Monitoring Analyst Locations: Woodbridge, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Jersey City, NJ; Washington, DC; Chicago (North Wacker Drive); San...
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...
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...
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...
Title: Corporate Securities AttorneyJob Overview: A Chicago-based law firm is seeking a seasoned legal professional with substantial exposure to securities law and regulatory filings. This position involves working on complex disclosure matters, regulatory submissions, and advising on compliance related to...