Overview: A law firm in Los Angeles, CA, is seeking a Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This role requires a seasoned professional with substantial experience in compliance and regulatory matters within the financial services sector....
Client Strategist Estate Planning Apply locations Remote time type Full time posted on Posted 24 Days Ago job requisition id R-101006 About **MEMBERS ONLY**SIGN UP NOW***. Wealth Enhancement is an...
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...
Firm Seeks Financial Services Compliance & Regulatory Associate H1: Join Our Market-Leading Financial Services Practice Group H2: Exciting Opportunity for Mid-level to Senior Associate Are you a highly skilled attorney with at least four years of experience...
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...
Senior Litigation Counsel: Represent FINRA in Complex Securities Cases H2:... Job Description and Essential Functions Overview: FINRA (Financial Industry Regulatory Authority) is currently seeking a Senior Litigation Counsel for their Enforcement Services department. This position involves litigating nationwide non-disciplinary and disciplinary proceedings and...
and disciplinary actions for FINRA, a regulatory organization for... the securities industry. The VP works closely with other VPs within the Enforcement Legal department and partners with other departments within FINRA to ensure efficient and... impactful regulatory outcomes. This role...
Capital Markets - All FINRA Locations FINRA is... ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. This is a senior-level position and will support the direct manager in identifying existing and emerging risks, as well...
- IRG - All FINRA Locations The Associate... an understanding of relevant FINRA rules, federal securities laws,... and markets and trading. Salary Range: - CA: Minimum Salary $94,200, Maximum Salary $176,000 - CO/HI/MN/VT*: Minimum Salary $81,900, Maximum Salary...
- IRG - All FINRA Locations FINRA is seeking a... Senior Principal Investigator for their Initial Review Group (IRG) in all FINRA locations. This is a... full-time position with competitive compensation and benefits. Responsibilities: - Lead and strategize on the departmental response and...
Risk Monitoring - Any FINRA Location The Organization:... FINRA is a not-for-profit organization... firms, and securities exchanges. FINRA is responsible for regulating... over 600,000 registered securities representatives across the United States. Position Overview: FINRA is seeki...
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...
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)...
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...
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 H1: Join... FINRA as an Associate Principal... Conduct Risk Monitoring for FINRA Members and Advance Your... Career! Organization: FINRA Department: Risk Monitoring... R-008962 Overview: FINRA, the Financial Industry Regulatory......
of Operations, Procedures and Standards - Full Time Reporting to the Vice President of Member Supervision Operations, Procedures and Standards, the Director will provide strategic leadership and establish procedures and standards for the program. They will also work closely...
Member Supervision - Any FINRA Location - Full-time position... - Posted Yesterday - Job Requisition ID: R-009067 JOB DESCRIPTION: - Lead a team of Senior Analysts responsible for intelligence gathering and dissemination - Establish internal policies and procedures...
Examination Manager - All FINRA Locations Organization: FINRA Department:... H1: Join the FINRA Team as an Examination... Bullet Points: - Manage a team of 4-6 Examination staff members - Schedule and staff exams for FINRA member firms and register......
Denver, CO; Dallas, TX; Boston, MA; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; Los Angeles, CA FINRA, the Financial Industry Regulatory... Authority, is seeking a Principal Investigator for their Nationa...
Analyst in Dispute Resolution Bullet Points: - Develops and implements policies for FINRA's arbitration program - Provides guidance... to regional offices on case administration - Conducts staff training on new rules and procedures - Serves as a subject matter expert on various dispute resolution...
- IRG - All FINRA Locations: Salary Information, Job... Title, and Experience Information Job Title: Associate Principal Investigator, NCP - IRG Salary Range: - CA: Minimum Salary $109,600, Maximum Salary $206,200 - CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary...
Risk Representatives - All FINRA Locations H1 Heading:... a Principal Investigator at FINRA H2 Heading: Conduct... The Organization: - FINRA is a leading securities... regulator in the United States, responsible for overseeing the securities industry and protecting...
- Full Time - FINRA H2: Essential Job Functions... and implement policies for FINRA's arbitration program - Advise... regional offices on case administration issues - Conduct staff training on new rules and procedures - Update FINRA publications related to arbitration......
Procedures and Standards Organization: FINRA (Financial Industry Regulatory Authority)... preferably with experience in FINRA's Exam and/or Risk Monitoring... program. Education Required: Bachelor's degree in a related field such as Accounting, Finance, Economics, Business Administration. Advanced degree (MBA, JD) and/or relevant...
Level: Bachelor's degree or equivalent relevant experience required; advanced degree or law degree preferred Organization: FINRA (Financial Industry Regulatory Authority)... Department: Initial Review Group (IRG) Location: All FINRA locations (Woodbridge, NJ; Jersey... City, NJ; Jericho, NY; Denver, CO; Dallas, TX;...
Summary: Organization: FINRA Job Title: Legal Extern,... Enforcement (UNPAID) Experience: Graduate student pursuing JD or LLM, preferred securities law or brokerage regulations knowledge Salary: Unpaid, must earn at least one credit Term: Fall 2025 semester, August-December Time Type: Part-time,...
and Standards - All FINRA Locations H1: Join... FINRA as a Principal Analyst... Regulatory Initiatives Across All FINRA Locations H2: Take... as Principal Analyst at FINRA Bold Headlines: ... Member Supervision Operations at FINRA - Lead Regulatory Initiatives... **MEMBERS ONLY**SIGN UP NOW***...
Director, Examinations - All FINRA Locations Salary Information:... regulatory experience Organization: FINRA Department: Member Supervision... Implement Strategic Direction of Examination Program for FINRA H2: Essential Job... Functions - Develop and implement strategic plans and initia...
preferably with experience in FINRA's Exam and/or Risk Monitoring... program. Prior experience in a senior-level position, providing leadership and guidance to more junior staff members. Demonstrated experience in conducting risk assessments and monitoring activities for high impact, high...
- IRG - All FINRA Locations Job Title: Associate... NCP - IRG Organization: FINRA Department: Initial Review Group... (IRG) Location: All FINRA Locations Experience: Bachelor's degree... or equivalent relevant experience; required. Advanced degree or law degree, preferred. Job Description:...
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,...
Interactions Compliance Manager Category Corporate Functions & Risk Job Id 2025-0001068 Posted Date 01/21/2025 Job Type Full time Charlotte, NC, United States Tempe, AZ, United States Los Angeles, CA, United States Minneapolis, MN, United States At ....
Senior Principal Analyst, MS Operations, Procedures and Standards - All **MEMBERS ONLY**SIGN UP NOW***. Locations H2: Apply Now for Senior Principal Analyst Position at **MEMBERS ONLY**SIGN UP NOW***. Organization: Financial Industry Regulatory Authority (**MEMBERS ONLY**SIGN UP NOW***.) Job Title: Senior Principal Analyst, MS Operations, Procedures and Standards Experience: Minimum of 8 years Salary Range: -...
Firm is seeking a mid-level to senior associate with at least four years of experience in financial services compliance and regulatory matters. This is a fantastic opportunity to join our highly regarded Financial Services Practice Group at **MEMBERS ONLY**SIGN UP NOW***.. We are...
Senior Corporate Paralegal - Hybrid Schedule, West Coast or New York Offices H2: Job Description Summary Senior Corporate Paralegal - Hybrid Schedule, West Coast or New York Offices Job Title: Senior Corporate Paralegal Location: Silicon Valley, New...
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...
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...
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...