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 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...
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......
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...
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 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...
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...
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...
- 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...
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...
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...
Program Management Associate Job Level: Associate Location: Jersey City, NJ, US, 07311 Employment Type: Full Time Requisition ID: 4432 SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group...
Change Management Officer - Vice President Level Job Description: - Work with the Regulatory Change Management Team as a Subject Matter Expert to identify and oversee the implementation of new or changes to existing laws, rules, regulations or...
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...
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: 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: 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: Vice President, Third Party Compliance Job Responsibilities: The Vice President for Third Party Compliance at the company will be responsible for providing compliance oversight of third-party vendors engaged by the company. This role involves a variety of tasks aimed at managing...
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...
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...
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...
pay range and discretionary bonus may be adjusted based on the location in which the position is performed. H1: Senior Corporate Paralegal Law Firm Full-Time Silicon Valley, New York, San Francisco, Seattle, Santa Monica H2:...
Firm is seeking an Experienced Corporate Paralegal to join its team. The ideal candidate must have knowledge of SEC rules and using the EDGAR system, as well as experience with proxy statements for both domestic and foreign private issuers and...
Summary: The Securities/Blue Sky Paralegal at Greenberg Traurig (GT) is a highly skilled professional with a minimum of 5 years of corporate securities experience within a law firm. This role is responsible for providing organizational and practice-specific assistance to...
and various states. - Work with state securities regulatory administrators, as well as NASAA, the SEC, and FINRA. - Conduct blue sky... research regarding state exemptions and monitor/track the state status of registrations and/or exemptions renewals. - Prepare and f...
Title: Senior Paralegal (Securities/Capital Markets) Job Responsibilities: The Senior Paralegal at the law firm applies their knowledge of the transactional lifecycle and associated procedures to provide essential assistance to lawyers in the Securities and Capital Markets department. Responsibilities include: - Performing work efficiently...
Law Firm: **Members Only** Job Title: Corporate and Securities Associate Experience: Minimum 3 years in securities law, 2 years in cryptocurrency, blockchain, and digital assets Salary: $115k - $225k (based on experience) Responsibilities: - Provide legal advice on federal...
laws and self-regulatory organization (FINRA, securities exchanges, clearing agencies)... rules Experience with broker-dealer financial responsibility rules, including SEC Rules 15c3-1 and 15c3-3 Experience with broker-dealer registration and transactional matters Experience with examinations, investigations and enforcement actions Experience with FINRA adv...
Company: **Members Only** Job Title: Vice President - Legal Counsel (DCM & ECM) Experience: At least 3+ years of top tier . law firm and/or . corporate legal department experience, advising on capital markets transactions Salary: Expected starting salary...
Assistant General Counsel - IP and Technology Transactions Galileo - Financial Technology Company WA - Seattle; CA - San Francisco HQ; NY - New York City; UT - Sandy - Galileo; TX - Frisco Employee Applicant Privacy...
Title: Attorney-Equity Derivatives Job Responsibilities: The Attorney-Equity Derivatives is responsible for analyzing complex legal issues and their implications on the General Manager's Equity Finance businesses, which include Prime Finance, Securities Lending, Clearing and Settlement, and OTC derivatives. The role involves providing...
Securities and Exchange Commission, FINRA, NYSE, Nasdaq, and the... OTC Markets Group. Must have 5-12 years of experience with strong experience in securities matters. Must be licensed in the home jurisdiction or be eligible for admission without examination. Application...
Title: Assistant General Counsel - Secretary & Securities Governance Job Responsibilities: The Assistant General Counsel - Secretary & Securities Governance at the company is tasked with overseeing corporate governance, securities compliance, and regulatory matters. Key responsibilities include: - Acting as Assistant Corporate...
Title Assistant General Counsel - Secretary & Securities Governance Job Responsibilities The Assistant General Counsel - Secretary & Securities Governance plays a crucial leadership role within the company, focusing on corporate governance, securities compliance, and regulatory matters. Key responsibilities include: - Serving as Assistant...
substantial exposure to mergers and acquisitions (M&A) transactions for both public and private companies, as well as startups. The attorney will handle public and private offerings and manage filings with the SEC, FINRA, and NASDAQ, including registration... statements, annual a...
Title: Legal Associate Job Responsibilities: - Review and analyze legal documents, contracts, and agreements related to broker dealer activities, including investment banking transaction documents, client agreements, trading agreements, and other business contracts. - Assist in the development, implementation, and maintenance of compliance policies...
Title: Marketing & Distribution Compliance, AVP Job Responsibilities: The Marketing & Distribution Compliance, AVP will be a vital member of the compliance team, focusing on regulatory compliance issues concerning marketing and other investor/third-party materials and communications. The individual will work collaboratively with...
Title: Distributor & Commercial Partnerships Job Responsibilities: - Spearhead the drafting, reviewing, and negotiating of a wide range of commercial agreements, such as selling agreements, placement agreements, service agreements, and other distribution-related agreements for the company's Client & Product Solutions business. - Identify,...
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...
City office of a **Members Only** Top Ranked Law Firm seeks a commercial litigation associate attorney with 5-7 years of experience. The candidate must have experience in the following areas Contract disputes, including employment, franchise, real estate, construction, insurance...