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Analyst, Risk Monitoring Organization: FINRA (Financial Industry Regulatory Authority)... to $200,200 Location: Any FINRA location (CA, WA, DC,... MD) H1: Join FINRA and Help Protect Investors... H2: Conduct Risk Monitoring and Assessments for FINRA Members in Senior-Level Role......
to any employee at FINRA without a valid written... the sole property of FINRA and no fee will... person is hired by **MEMBERS ONLY**SIGN UP NOW***. Associate Principal... Risk Monitoring - Any FINRA Location Full-time position... with a reputable organization...
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...
President & Associate General Counsel, Capital Markets Policy - $175,600 to $345,700 (Remove contact information, replace company name with organization, replace firm name with organization, replace department name with department) H1: Vice President & Associate General Counsel, Capital Markets Policy - Apply...
Firm Seeks Experienced Corporate Securities Associate for Multiple Offices Saul Ewing, a leading law firm, is seeking an experienced corporate securities associate to join our expanding securities group. This is an exciting opportunity to join a sophisticated and entrepreneurial...
candidate has 4-5 years of experience in public company regulations, securities offerings, and corporate governance. - Knowledge of national securities exchange listing rules, reporting requirements, and Section 16 reporting is required. - Broker-dealer, FINRA, investment adviser, or fund... formation experien...
Senior Associate or Counsel (Corporate Securities) - Multiple Offices H2: Join the Growing Securities Group at Saul Ewing Saul Ewing, a leading law firm, is seeking an experienced senior associate or counsel to join our expanding securities group. This...
Director The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
The ideal candidate will have substantial expertise in public company regulations, securities offerings, and corporate governance. The role involves handling SEC reporting, national securities exchange listing rules, and Section 16 reporting. Experience with broker-dealer, FINRA, investment adviser, or fund... format...
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...