Title: Senior Counsel, Personal Investor Retail Brokerage Lawyer Salary: Not specified (competitive salary) Experience: Minimum 4 years of related experience Responsibilities: - Provide legal advice to business leaders on issues impacting Vanguard's retail brokerage business and investment product...
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...
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...
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 Legal - Organization: FINRA - Location: Multiple locations... including New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD; Philadelphia, PA;...
Title:** Insurance and Wealth Management Attorney - Vice President, Assistant General Counsel **Job Identification:** 210575343 **Job Category:** Counsel **Business Unit:** Corporate Sector **Locations:** Columbus, OH; Plano, TX; Philadelphia, PA; Tampa, FL; Chicago, IL; Wilmington, DE; Tempe, AZ **Job Schedule:** Full...
Friendly Job Title: Senior Counsel - Technology, Security, and Data Privacy H1 Heading: Join PNC as a Senior Counsel for Technology, Security, and Data Privacy H2 Heading: Protect Customer Data and Fulfill Regulatory Obligations as Senior Counsel at...
Title: Senior Counsel - Public Finance Job Responsibilities: The Senior Counsel within the company's national Public Finance organization is responsible for providing transactional support and regulatory advice to the company's national Public Finance business. The role involves performing significant and complex legal...
Risk Monitoring - Any Finra Location locations ... New York, NY (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL...
Investigator, VAST - All FINRA Locations locations ... Boca Raton, FL (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job...
Strategic Engagements - All FINRA Locations Apply Logo ... locations Philadelphia, PA (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA...
Manager -Trading Specialist Apply Logo locations Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job Posting) Boca Raton, FL (Job Posting) Woodbridge,...
- IRG - Any Finra Location locations ... Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job...
Member Supervision - All FINRA Locations Apply Logo Strategic... Member Supervision - All FINRA Locations Apply Logo ... locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting)...
and Standards - All FINRA Locations Apply Logo ... locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type Full...
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...
Monitoring Analyst - Any FINRA Location The role... Risk Monitoring Analyst at FINRA involves conducting risk monitoring... ongoing risk assessments of FINRA members. This is a... mid-level position with staff developing in role and reporting to a Risk Monitoring...
Associate, Risk Monitoring - FINRA Locations Nationwide H1:... Associate, Risk Monitoring at FINRA H2: Essential Functions... Risk Monitoring Role at FINRA Department: Risk Monitoring... Organization: FINRA Logo Locations:... Woodbridge, NJ Jericho, NY...
Procedures and Standards Organization: FINRA Department: Member Supervision Operations,... Procedures and Standards Salary Range: $131,100 - $305,000 (based on location and other factors) Job Type: Full-time Experience: Significant experience in securities, Procedures and Standards at FINRA H2: Strategic Leadership and......
Member Supervision - Any FINRA Location H2: Job Description and... Requirements Organization: FINRA Job Title: Senior Director, Financial... Requisition ID: R-009067 Location: Any FINRA Location (see list below) Time... Type: Full Time Salary Range: $154,100 - $361,700 (depending on location and qualifications) FINRA Locations: New York, NY...
FINRA offers a comprehensive benefits... much more. Organization: FINRA Job Title: Examination... Manager Location: All FINRA Locations Time Type:... Full Time Job Requisition ID: R-009059 Salary Information: - Minimum salary ranges from $111,400...
Investigator, NCP - Any FINRA Location: - Investigate... fraud or misconduct within FINRA member firms and registered... representatives - Conduct extensive background searches and gather regulatory intelligence using internal systems and record requests - Analyze and evaluate firm records...
- IRG - All FINRA Locations Job Title:... Full time Organization: FINRA Department: Initial Review... Group (IRG) Experience Requirements: Bachelor’s degree or equivalent relevant experience; required. Advanced degree or law degree, preferred. Salary Information: -...
a condition of employment, FINRA employees are required to... Conduct and all applicable FINRA rules and regulations, and... to disclose to FINRA all brokerage accounts that... have a financial interest. FINRA employees are required to... disclose to FINRA all brokerage accounts that......
and Standards - All FINRA Locations: - Develop... and implement procedures and standards across the program, working with SEC, Internal Audit, and Quality Assurance. - Provide strategic leadership and guidance for the program, including developing controls and metrics to...
Principal Investigator, NCP - IRG - All Locations Salary Information: - Minimum salary varies by location: - CA: $94,200 - CO/HI/MN/VT: $81,900 - IL: $90,100 - Jersey City, NJ/NYC, NY: $98,300 - MA/WA: $81,900...
this legal externship with FINRA, you will have the... opportunity to work closely with experienced attorneys, investigators, and management in the Enforcement department. Your main responsibilities will include conducting legal research and writing, reviewing documents, and assisting with preparation for...
and Standards - All FINRA Locations Full Time Posted Today Job Requisition... ID: R-009197 About FINRA: FINRA is a non-governmental organization... in the United States. FINRA is dedicated to investor... protection and market integrity through effective and efficient regulation of the securities industry. Position Summary: The Principal...
Summarized: Organization: FINRA Job Title: Principal... education and experience Job Type: Full-time Job Requisition ID: R-009173 Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments for FINRA members - Collaborate with... internal department...
Director, Examinations - All FINRA Locations H1: Lead and Implement... Strategies for Examination Program at FINRA H2: Essential Job Functions and... Requirements Bold Headlines: Develop Strategic Plans, Collaborate with Risk Monitoring, Provide Strategic and Tactical Advice, Manage Examination Directors, Participate in Industry Conferences,...
Analyst, Risk Monitoring - FINRA H1 Heading: Principal... Analyst, Risk Monitoring - All FINRA Locations H2 Heading:... Conducting Risk Monitoring Activities for FINRA's Highest Impact Firms ... Organization: FINRA Department: Risk Monitoring... Job Requisition ID: R-009196...
and Standards - All FINRA Locations - Full-time... position in Member Supervision Operations, Procedures and Standards (MS OPS) - Develop, implement, and maintain operations, procedures, standards, and reporting - Continuously evaluate program for areas of improvement and resolve complex...
Senior Principal Investigator - FINRA IRG (All Locations) ... H1 heading: Join FINRA as a Senior Principal... Investigator in our Initial Review Group (IRG) H2 heading: Responsibilities and Qualifications for Senior Principal Investigator Position Bold headlines: - Lead...
Summary: FINRA is seeking an Associate... (IRG) team at all FINRA locations. The IRG team... Associate Principal Investigator will perform intake and assessment with moderate supervision and demonstrate competency in investigative techniques and an understanding of relevant FINRA rule...
FINRA strives to make our... note that this number is exclusively for inquiries regarding application accommodations. In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and... vesting in a 401(k...
Capital Markets - All FINRA Locations is a senior-level... ongoing risk assessments for FINRA members. This role reports... to a Risk Monitoring Director and supports them in identifying existing and emerging risks, as well as interacting with internal and external...
Friendly Job Title: Associate Principal Investigator, NCP - IRG - All **MEMBERS ONLY**SIGN UP NOW***. Locations H1: Join **MEMBERS ONLY**SIGN UP NOW***. as an Associate Principal Investigator H2: Investigate Regulatory Intelligence at **MEMBERS ONLY**SIGN UP NOW***. Locations Nationwide Organization: **MEMBERS ONLY**SIGN UP NOW***. (Financial Industry Regulatory Authority) Job Type: Full Time Salary Range: $81,900 - $176,000 Experience Level:...
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 responsibility includes overseeing the planning and execution of cyber-enabled fraud investigations involving...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist in the Financial Intelligence Unit (FIU) within the organization’s National Cause and Financial Crimes Detection Program (NCFC) is responsible for executing functions that support the specialized unit’s mission. This...
law firm in Philadelphia, PA, is seeking a Senior Corporate Securities Associate Attorney or Counsel. The ideal candidate will possess over 6 years of comprehensive experience in corporate securities law, including public company regulations, securities offerings, and corporate governance. This...