with legal staff, business units, outside counsel, and clients to ensure compliance with the requirements set by the SEC, FINRA, and other regulatory bodies.... Key responsibilities include: - Preparing and reviewing regulatory documents necessary for the creation and maintenance o...
Title: Examination Director** **Job Responsibilities:** The Examination Director at the organization plays a pivotal role in overseeing and ensuring the integrity and effectiveness of the organization's regulatory operations. This position involves managing a team of 4-6 Examination Managers and Senior Principal Examiners,...
Title: Counsel - Litigation Job Responsibilities: - Manage litigation for multiple lines of business, including Retail Banking. - Provide advice on legal compliance and risk management. - Oversee legal research and analysis. - Collaborate with outside counsel. - Interface with multiple internal clients at various management...
Specialist Team - All FINRA Locations Job Responsibilities: The Principal Investigator,... and special investigations of FINRA member firms. This includes... of individuals associated with FINRA member firms and providing... guidance to Member Supervision staff on complex assignments. The position involves proactive surveillance...
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: Staff Counsel - Bankruptcy and Business Restructuring Job Responsibilities: The Staff Counsel role within the company's Bankruptcy and Business Restructuring organization involves providing a wide array of legal guidance and support. Key responsibilities include: - Delivering legal advice and support to asset...
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...
Title: Senior Counsel - Public Finance Job Responsibilities: As a Senior Counsel within the company's national Public Finance organization, the candidate will be expected to provide transactional support and regulatory advice to the company’s national Public Finance business. Key responsibilities include: - Performing...
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...
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...
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...
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:** 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...
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...
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...
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 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...
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;...
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...
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...
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...
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...
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,...
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......
- 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: -...
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...
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...
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......
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...
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...
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...
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...
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...
Overview: A prominent national law firm is seeking a highly skilled Corporate Securities Attorney to join its Corporate Practice Group. This role involves managing regulatory filings, compliance, and corporate governance for public and private companies. The ideal candidate will have...