- IRG - All FINRA Locations (Open) **Members Only**.. is currently seeking an... in all of our FINRA locations. The successful candidate... will have a Bachelor’s degree or equivalent relevant experience, with an advanced degree or law degree preferred. The...
Summary: Organization: FINRA Job Title: Associate Principal... MD; Philadelphia, PA; New York, NY; and Los Angeles, CA Time Type: Full time Posted On: Posted Today Job Requisition ID: R-009227 FINRA's Initial Review Group (IRG)... is responsible for rev...
Title: Senior Litigation Counsel, Enforcement Services Job Responsibilities: The Senior Litigation Counsel operates under minimal supervision to handle nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO). This role also involves briefing and arguing appeals before the National...
Title: Senior Litigation Counsel, Enforcement Services Job Responsibilities: The Senior Litigation Counsel operates under minimal supervision to manage and litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to handle appeals before the National Adjudicatory Council...
Title: Counsel Job Responsibilities: - Provide legal and regulatory support for the company's pooled investment vehicles, which include an investment company registered under the Investment Company Act of 1940, an Irish UCITS fund, and a collective investment trust for retirement...
of Broker Compliance Job Title: Head of Broker Compliance Job Responsibilities: As the Head of Broker Compliance at the company, you will play a crucial role in ensuring that the company's operations adhere to the highest standards of regulatory and governance requirements. Your responsibilities...
of Broker Compliance Job Title: Head of Broker Compliance Job Responsibilities: As the Head of Broker Compliance, you will be responsible for ensuring that the company's operations meet the highest standards of regulatory and governance requirements. This involves developing and implementing comprehensive compliance...
Compliance Regulatory Officer, Associate Experience: 4-7 years Salary Range: $82, - $140, Employment Type: Full Time Location: Jersey City, NJ, US Company: SMBC Group Department: Regulatory Change Management Team H1: Join SMBC Group as a Compliance Regulatory Officer Associate...
of overall work experience - Must have expertise in trusts and estate planning, income tax planning, or succession planning - FINRA Series 7 and 66... licenses are required, or must be obtained within 90 days of employment - Will primarily use video t...
Paralegal (Securities) - Florham Park, NJ **Members Only**, 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...
Family Office Design & Governance Strategist H2: Business Development Opportunity with Global Wealth Management Firm **Members Only** is seeking a Family Office Design & Governance Strategist to join their team in various locations across the United States. This is a...
Title: Principal Investigator, Specialist Team Job Responsibilities: - Conduct high complexity routine and special investigations of organization member firms. - Investigate potentially suspicious activities of persons associated with organization member firms. - Provide guidance to Member Supervision staff on complex assignments. - Proactively surveil the...
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...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist plays a critical role within the Financial Intelligence Unit (FIU) of the organization’s National Cause and Financial Crimes Detection Program (NCFC). The primary responsibilities include: - Partnering across the organization...
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: 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: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator is responsible for conducting high complexity routine and special investigations of organization member firms and investigating potentially suspicious activities of persons associated with these firms. The role involves providing guidance to 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....
**Members Only** **Members Only** is a registered trademark of the Financial Industry Regulatory Authority, Inc. **Members Only** is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, gender, national origin, age, disability, veteran...
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...
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......
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,...
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...
Firm Seeking Labor and Employment Associate in Princeton, NJ **Members Only**, a full-service law firm with offices in Pennsylvania, New Jersey, NYC, and Wilmington, DE, is seeking a Labor and Employment Associate for their Princeton office. This is...
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......
- All Locations at FINRA H1 Heading: Join... FINRA as an Associate Principal... Investigator for the Initial Review Group H2 Heading: Perform Intake & Assessment with Moderate Supervision Bold Headline: Essential Job Functions - Review triggering...
- 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...
IRG, NCP - All FINRA Locations (Open) H1: Join the... Team at FINRA as an Associate Principal... Associate Principal Investigator at FINRA Bold Headline: FINRA is Hiring... their Initial Review Group Organization: FINRA Job Title: Associate Principal Investigator Experience:... Bachelor's degree or equivalent relevant experien...
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 H1 Heading: Join **Members Only**.. 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...
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...
and Standards - All FINRA Locations H2: Apply for Senior... Principal Analyst Position at FINRA H2: Job Description for Senior... Principal Analyst at FINRA Summary: FINRA is seeking an experienced... Senior Principal Analyst to join their Member Supervision Operations, Procedures and Standards team. The...
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 Legal Extern, Enforcement Department... - Fall 2025 Semester: - Time type: Part time - Term of Position: Fall (August-December) - Hiring Criteria: - Graduate student pursuing JD or LLM - Preferred coursework or knowledge in securities...
Procedures and Standards - FINRA Locations Summary: ... FINRA is seeking a Principal... Analyst for their Member Supervision Operations, Procedures and Standards team. This position will be responsible for identifying, assessing, developing, implementing, and maintaining operations, procedures, standards, and...
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,...
Capital Markets - All FINRA Locations - H1 heading:... Join FINRA as a Principal Analyst,... ongoing risk assessments of FINRA members in all locations.... - Collaborate with internal departments to analyze, communicate, and make recommendations regarding regulatory intelligence. - Ment...
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,...
Director, Examinations - All FINRA Locations Experience: Significant securities,... Full Time Location: Various FINRA Locations (see job posting... Senior Director, Examinations - Lead and Implement Strategic Direction for FINRA Locations H2: Join Our... Team and Make a Difference in t...
Analyst, Risk Monitoring - FINRA Locations Job Title:... Analyst, Risk Monitoring Organization: FINRA Department: Risk Monitoring Location:... field, prior experience in FINRA's Exam and/or Risk Monitoring... program preferred FINRA, the Financial Industry Regulatory... Authority, is seeking a highly...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director within the organization's Cyber and Analytics Unit (CAU) is responsible for leading the Cyber-Enabled Fraud (CEF) team. This role involves overseeing the planning and execution of cyber-enabled fraud investigations related...
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...
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...
Overview: A nationally recognized law firm is seeking a Corporate Securities Attorney with 5 to 12 years of experience to join its Corporate Practice Group. The ideal candidate will support a variety of securities law and regulatory matters for public...