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: Business Paralegal - Chicago Job Responsibilities: - Adhere to the ethical requirements as per the Rules of Professional Conduct of the applicable jurisdiction. - Communicate clearly in both oral and written forms, maintaining professionalism. - Provide proactive support to attorneys as assigned, ensuring...
Title: 40 Act Attorney Job Responsibilities: The 40 Act Attorney at the company will be responsible for several key duties related to registered investment products, including privately offered business development companies (BDCs), non-traded BDCs, and non-listed real estate investment trusts (REITs). The...
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: Legal Assistant - Litigation Job Responsibilities: - Provide general administrative and office support to attorneys, including managing case files, photocopying, preparing expense reports, submitting invoices, and coordinating travel. - Schedule and coordinate meetings, conference calls, and room set-up for in-house and off-site...
Title: Senior Litigation Counsel, Enforcement Services Job Responsibilities: The Senior Litigation Counsel operates with minimal supervision to manage and litigate non-disciplinary and disciplinary proceedings nationwide, filed with the Office of Hearing Officers (OHO), and to handle appeals before the National Adjudicatory Council...
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...
– 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...
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...
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...
- 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...
- 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...
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...
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...
Title: Asset & Wealth Management - Vice President Marketing Supervisory Manager Job Responsibilities: As a Marketing Supervisory Manager within Asset & Wealth Management at the company, you will play a crucial role in overseeing regulatory compliance in the realm of marketing, advertising,...
- IRG - All FINRA Locations (Open) **Members Only**.. is currently seeking an... Group (IRG) in all FINRA locations. This is a... full-time position with competitive salary and benefits. As an Associate Principal Investigator, you will play a critical role...
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,...
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 -...
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...
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...
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...
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: Sr. Wealth Advisor Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth wealth clients. - Develop and deepen client relationships through high-level client service and the delivery of a full suite of wealth solutions. -...
Title: FSRM Advisor - FSRM - Sector Compliance - FSO - Manager - Mult Pos -1613169 Job Responsibilities: - Assist clients in transforming business models to address technology challenges, particularly in the realm of mutual fund and hedge fund advisory. -...
and regulatory risks in commercial activities. - Collaborate with business colleagues to assess and mitigate the company’s risk profile. - Maintain relationships with regulators and manage relevant exams. - Act as an expert in SEC, FINRA, NFA, ERISA, and other... US sales an...
Title: Vice President, Advanced Planning - REMOTE - MN, MO, IL Job Responsibilities: The Vice President, Advanced Planning, is a client-facing role responsible for serving as a financial planning and estate planning subject matter authority for high net worth clients and...
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...