law firm is seeking a Securities Litigation Associate Attorney to join their team in Florham Park, NJ. The ideal candidate will have 4-6 years of substantive experience in securities litigation and regulatory practice, working on a variety of matters, including...
Paralegal (Securities) - Florham Park, NJ **MEMBERS ONLY**SIGN UP NOW***., 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...
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...
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...
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,...
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......
Title: Assistant Vice President - Employment Counsel Experience: 4-6 years Salary: $175,000 to $210,000 annually Job Summary: - The Assistant Vice President - Employment Counsel position is responsible for providing legal advice and counsel regarding all employment legal...
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......
and Standards - All FINRA Locations Apply Logo Senior... and Standards - All FINRA Locations Apply Logo ... locations Woodbridge, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting)...
and Standards - All FINRA Locations Apply time... type Full time posted on Posted Today job requisition id R-008792 This position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who...
Risk Monitoring - Any Finra Location Apply Logo ... locations New York, NY (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations...
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...
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)...
- IRG - Any Finra Location 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,...
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...
Risk Monitoring Analyst at FINRA, you will play a... and assessing risks within FINRA member firms. This is... a mid-level position with opportunities for growth and development, reporting to a Risk Monitoring Director. You will work closely with other departments...
Lead Principal Analyst, Fixed Income Regulation Salary Range: $111,400 - $242,600 Organization: FINRA Department: Fixed Income... Regulation Location: New York, NY; Jersey City, NJ; Jericho, NY; Woodbridge, R-009035 Overview: FINRA is currently seeking a......
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...
Operations, Procedures and Standards - Full Time Salary Information: - Minimum salary range: $131,100 - $150,600 - Maximum salary range: $254,000 - $305,000 - Actual compensation based on factors such as skill set, experience, education, and internal peer comparisons...
Member Supervision - Any FINRA Location H2: Essential Job... Functions: - Lead a team of Senior Analysts responsible for intelligence gathering and dissemination, providing critical leadership and guidance - Establish internal policies and procedures for timeliness and quality of...
Organization: FINRA Department: Member Regulation Location:... All FINRA Locations Job Title: Examination... people Job Summary: FINRA, the Financial Industry Regulatory... experienced Examination Manager to oversee and ensure completion of risk-based examinations of FINRA member firms and registered... representatives. T...
and evaluate evidence for FINRA's National Cause Program. Experience and... experience, advanced degree or law degree preferred. - Advanced knowledge of FINRA rules and federal securities... laws. - Strong understanding of securities markets and member firm operations. - Excellent written and verbal communication sk...
Capital Markets - All FINRA Locations - Conduct risk monitoring... ongoing risk assessments for FINRA members - Senior-level position reporting... to a Risk Monitoring Director - Collaborate with internal departments to analyze and communicate regulatory intelligence - Mentor and coach junior level risk monitoring...
Analyst, Dispute Resolution The organization is seeking a Principal Analyst to join their team and support their Dispute Resolution program. This role will involve developing and implementing policies for the arbitration program, advising on case administration issues, and serving...
Minimum salary ranges from $95,300 to $109,600 and maximum salary ranges from $171,800 to $206,200 depending on location and other factors. Experience: Bachelor's degree or equivalent experience required, advanced degree or law degree preferred. Advanced knowledge of FINRA ru...
Summary: Organization: FINRA (Financial Industry Regulatory Authority)... Risk Representatives - All FINRA Locations Experience: Bachelor's degree... degree, preferred. Location: Various FINRA Locations (New York, NY;... Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Jersey...
the National Arbitration program for FINRA Dispute Resolution Services (DRS).... - This role involves developing and implementing policies for FINRA's arbitration program, advising regional... offices on case administration issues, and conducting staff training. - The Principal Analyst also tracks p...
and Standards - All FINRA Locations Job Title:... Procedures and Standards Organization: FINRA Department: Member Supervision Operations... Location: Various locations across the US Job Type: Full Time Salary Range: $131,100 - $305,000 (varies by location and experience)...
IRG will work in FINRA's Initial Review Group (IRG),... degree or equivalent relevant experience and a strong understanding of relevant FINRA rules and federal securities... laws. The individual will be responsible for conducting interviews, gathering background intelligence, and analyzing info...
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...
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...
and Standards - All FINRA Locations Apply Logo ... locations New York, NY (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston,...
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...
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...
Essential Job Functions - Represents FINRA in complex disciplinary proceedings... securities law violations - Represents FINRA in non-disciplinary hearings and... litigation related to expedited proceedings - Argues appeals before the National Adjudicatory Council - Provides guidance and advice on statutory disqualification, membership application denials,...
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,...
and Standards - All FINRA Locations Apply Logo Senior... and Standards - All FINRA Locations Apply Logo ... locations Woodbridge, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting)...
and Standards - All FINRA Locations Apply time... type Full time posted on Posted Today job requisition id R-008792 This position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who...