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...
About FINRA FINRA is a... Authority, Inc. All FINRA associates must comply with... FINRA’s Investment Company and Variable Contracts Limited Representative Qualification Exam (“Series 6 exam”) and obtain a passing score on the Series 6 exam within six...
Title: Paralegal - Capital Markets Group H1: Join Orrick as a Paralegal in Capital Markets Group H2: Experienced Paralegal Opportunity in Capital Markets at Orrick Overview: - Orrick is seeking a Paralegal for their Capital Markets Group in...
paid parental leave and much more. In addition to competitive compensation and benefits, we also offer a variety of resources to support our employees’ professional development and career growth. Our Learning & Development team offers a wide range of...
Counsel – Investment Advisor Practice Group: H1: Join MassMutual as Lead Counsel – Investment Advisor Practice Group H2: Exciting Opportunity for Experienced Attorney The Opportunity: - As a member of MassMutual’s Legal Department, you will provide legal advice...
Associate General Counsel: Job Summary and Overview **MEMBERS ONLY**SIGN UP NOW***. is seeking an experienced attorney to join their team as Senior Vice President, Associate General Counsel. This position will report to the Executive Vice President and provide strategic legal advice...
Organization: FINRA Job Title: Senior... (Washington, DC; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX) Time Type: Full-time Job Requisition ID: R-009061 H1: Senior Litigation Counsel, Enforcement Services H2: Represent FINRA in Complex Securitie...
a real impact and drive positive change? If so, FINRA (Financial Industry Regulatory Authority)... may have the perfect opportunity for you. As the Vice President of Enforcement Legal, you will lead a team of attorneys in conducting high-profile investigations and discipli...
join their team. This role will involve defending the firm and its Financial Professionals in FINRA arbitrations and litigation matters,... as well as managing a docket of cases handled by outside counsel. The ideal candidate will have a Juris...
Financial is seeking a Vice President, Assistant General Counsel to join our Institution Services Legal Team. This role will be responsible for supporting our institution services business and negotiating relationships with product manufacturing partners and insurance companies. The ideal candidate...
Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney Job Responsibilities: The VP AGC – Wealth Management Platforms, Programs & Advisory Attorney will play a pivotal role in the corporate legal advice team at the company. The position involves providing...
- IRG - All FINRA Locations FINRA is... currently seeking an experienced Associate Principal Investigator to join our Initial Review Group (IRG) team. The IRG is responsible for the intake, review, and analysis of regulatory intelligence received through a...
Capital Markets - All FINRA Locations - Full-time position with... related field required - Advanced knowledge of FINRA's risk fundamentals and securities... rules and regulations - Minimum of 5 years of experience in financial industry, with demonstrated analytical skills - Ability to analyze...
©2019 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. **MEMBERS ONLY**SIGN UP NOW***... is a registered trademark... NCP - IRG at FINRA H1: Join **MEMBERS ONLY**SIGN UP NOW***... as an Associate Principal... - Full-time position at FINRA, with locations across the... US including Boston, Jersey City, and Dallas -...
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 Job Summary:... ongoing risk assessments for FINRA members. - Mid-level position... reporting to a Risk Monitoring Director. - Supports direct manager in identifying and addressing existing and emerging risks. - Conducts risk monitoring...
About FINRA FINRA is a... Authority, Inc. All FINRA associates are required to... disclose to FINRA any securities-related business activity... - All Locations at FINRA H1: Join the... team at FINRA as an Associate Principal... Analyst, Risk...
Director of Operations, Procedures and Standards is responsible for providing strategic leadership and guidance in establishing procedures and standards across the program. They will also collaborate with various groups conducting reviews of the program, such as the SEC, Internal Audit,...
FINRA is an Equal Opportunity... sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates. FINRA abides...
FINRA also provides a comprehensive... benefits package. Organization: FINRA Job Title: Examination... Manager Experience: Significant securities, compliance or financial people Location: All FINRA Locations Salary Range:... education H1: Join FINRA as an Examination Manager......
Cause Program (NCP) of FINRA is seeking a Principal... FL, Jersey City, NJ, Jericho, NY, Denver, CO, and Dallas, TX. The ideal candidate will have a Bachelor's degree or equivalent relevant experience, advanced knowledge of FINRA rules and federal securitie......
Risk Representatives - All FINRA Locations Role Overview:... high complexity investigations of FINRA member firms and their... advanced knowledge of relevant FINRA rules and federal securities... laws, as well as expertise in conducting investigations and identifying risks. The Principal...
Procedures and Standards - FINRA Headings: H1: Director,... Procedures and Standards - FINRA H2: Essential Job Functions... Bullet Points: - Develop controls and metrics to monitor program execution and effectiveness - Provide operational risk framework within First and...
- IRG - All FINRA Locations Salary Information:... Principal Investigator, NCP - IRG Experience Information: - Bachelor's degree or equivalent experience required - Advanced degree or law degree preferred - Substantive knowledge of relevant FINRA rules and...
FINRA Legal Extern, Enforcement -... Legal externs work with FINRA's Enforcement department to assist... in investigations of potential violations of securities laws and regulations. - This is an unpaid externship for the Fall 2025 semester. - The position is part-time and requires...
and Standards H1: Join FINRA as a Principal Analyst... in MS Operations, Procedures and Standards H2: Experienced Individual Contributor in Member Supervision Operations Bold Headlines: - Experienced Individual Contributor in Member Supervision Operations - Lead Regulatory Initiatives and Partner...
Director, Examinations - All FINRA Locations Key Responsibilities:... - Lead and implement strategic direction of examination program for a specific firm grouping - Develop and implement strategic plans and initiatives for the firm group - Collaborate with Risk Monitoring...
Risk Monitoring - All FINRA Locations Salary Information:... Experience: Prior experience in FINRA's Exam and/or Risk Monitoring... Level Position Supporting Risk Monitoring Director H2: Essential Job Functions: - Conducts risk monitoring activities for FINRA's highest impact, highes...
Summary: FINRA, the Financial Industry Regulatory... Group (IRG) in all FINRA locations. The position requires... reviewing and analyzing regulatory intelligence received through various sources, such as tips, complaints, and filings, to identify potential violations of FINRA rules and...
(IRG). The ideal candidate will have experience with securities regulation, including a deep understanding of FINRA rules and the federal... securities laws. They will have a demonstrated ability to conduct thorough and efficient investigations, analyze complex information, and make w...
Specialist Team - All FINRA Locations Job Responsibilities: The Principal Investigator... and special investigations of FINRA member firms. This role... of individuals associated with FINRA member firms and providing... guidance to Member Supervision staff on complex assignments. The Principal Investigator is tasked...
FINRA strives to make our... application process, please contact FINRA's accommodation help line at... 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...
Capital Markets - All FINRA Locations: - Full-time... position with competitive salary - R-009083 job requisition ID - Conduct risk monitoring activities and ongoing risk assessments - Senior-level position reporting to a Risk Monitoring Director - Collaborate with internal...
Friendly Job Title: VP, Financial and Trust Planning Lead - Wealth Solutions H1: Join **MEMBERS ONLY**SIGN UP NOW***. as our VP, Financial and Trust Planning Lead H2: Drive Advanced Wealth Planning Solutions and Experience Bold Headlines: - **MEMBERS ONLY**SIGN UP NOW***. is...
Standards H2: Key Responsibilities and Requirements Bold Headlines: - Join FINRA as a Senior Principal... Analyst in MS Operations, Procedures and Standards - Lead and partner with key stakeholders in regulatory initiatives - Develop and maintain operations, procedures, and reporting processes - Cultivate strong working relati...
Information: The salary for this position is based on experience and qualifications, with a range of $150,000-$200,000 per year. Job Title: Senior Relationship Manager - **MEMBERS ONLY**SIGN UP NOW***. Experience Information: Minimum 7 years of sales and business...
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 the oversight of planning and execution...
law firm in Boston, MA, is seeking a Senior Corporate Securities Associate Attorney or Counsel with extensive experience in securities law and corporate governance. The ideal candidate will have a strong background in public company regulations, securities offerings, and compliance...