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... Regulatory Authority, Inc. FINRA is an equal opportunity... any other non-merit factor. FINRA is committed to providing... access to employment opportunities for people with disabilities. If you are a qualified individual with a...
anticipated start date for this position is as soon as possible. H1: Senior Corporate Paralegal - Law Firm H2: Hybrid Schedule, Startup, M&A, Capital Markets Experience Job Title: Senior Corporate Paralegal - Hybrid Schedule, Startup, M&A,...
Paralegal Opportunity at a Global Law Firm in Capital Markets Department H2- Join Our Team in Boston, San Francisco or New York! Overview: - Orrick is seeking a highly skilled Paralegal to join our Capital Markets Group in...
and Securities Associate: H1: Join the Team at a Prestigious Law Firm in San Francisco as a Corporate and Securities Associate H2: Work with Cutting-Edge Cryptocurrency and Blockchain Technology Bullet Points: - **MEMBERS ONLY**SIGN UP NOW***. (CFM) is...
Securities and Exchange Commission, FINRA, NYSE, Nasdaq, and the... OTC Markets Group. Must have 5-12 years of experience with strong experience in securities matters. Must be licensed in the home jurisdiction or be eligible for admission without examination. Application...
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...
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...
legal industry. We not only have the best **MEMBERS ONLY**SIGN UP NOW***. positions, but we also have the most. Paralegal - Litigation The candidate will assists in filing of pleadings, arbitrator selection, production and management of documents and hearing preparation in FINRA...
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...
professional responsible for representing FINRA in nationwide disciplinary and... non-disciplinary proceedings and appeals. This role requires a law degree and ten years of litigation experience, as well as superior oral and written communication skills. The Senior Litigation Counsel will work...
- IRG - All FINRA Locations - Full-time... position - Job Requisition ID: R-009087 - Salary range based on location and individual qualifications and experience - Remote work available in certain locations - Comprehensive benefits package including health, dental,...
H1 Heading: Join FINRA as the Vice President... - Lead and Manage Attorney Teams for High-Impact Investigations and Disciplinary Actions - Collaborate with Regulatory Operations Partners for Efficient and Timely Regulatory Outcomes - Provide Exemplary Service to FINRA's Reg...
Wealth Management and Consumer Banking Litigation Attorney - Vice President, Assistant General Counsel H2: Join a Prestigious Firm as an Experienced Litigation Attorney The Wealth Management and Consumer Banking Litigation Attorney - Vice President, Assistant General Counsel position offers...
Title: Professional Liability Associate Attorney Job Responsibilities: The Professional Liability Associate Attorney will be responsible for defending professional liability claims in various sectors. This includes, but is not limited to, representing insurance agents, real estate agents, accountants, architects and engineers, as well...
Investigator, NCP - Any FINRA Location FINRA is currently seeking... This role will involve conducting extensive background searches, analyzing financial records, and providing subject matter expertise to support FINRA investigations. Salary Information: - Salary ranges... vary based on location, experience, and education. - Candidat...
Risk Representatives - All FINRA Locations FINRA is seeking a... high complexity investigations of FINRA member firms. This position... will be responsible for investigating potentially suspicious activities of high risk registered representatives and providing guidance to Member Supervision staff. The Principal...
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...
activities and ongoing risk assessments of FINRA members. The position is... available at various FINRA locations across the United... States, including Woodbridge, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Jersey City, NJ; Wa...
About FINRA: FINRA is a registered... trademark of the Financial Industry Regulatory Authority, Inc. Associate Risk Monitoring - All FINRA Locations The Associate... ongoing risk assessments for FINRA members at all **MEMBERS ONLY**SIGN UP NOW***... locations. This is a......
of Operations, Procedures and Standards - Salary and Job Description Job Title: Director of Operations, Procedures and Standards Salary: $131,100 - $305,000 (depending on location and qualifications) Experience: Significant securities, compliance or financial regulatory experience required...
Member Supervision - Any Finra Location" The Senior... and Analytics Program at **MEMBERS ONLY**SIGN UP NOW***. This position is responsible... for leading a team of Senior Analysts in gathering and disseminating real-time intelligence to protect investors and mitigate risk. The Senior Director...
FINRA offers a comprehensive compensation... time off. Organization: FINRA Department: Examination ... Job Title: Examination Manager Experience: Significant securities, compliance or financial regulatory experience and moderate experience managing projects and/or people Salary Inform...
and Standards - All FINRA Locations • Full-time... position • Location: Multiple locations available (see job posting for details) • Job Requisition ID: R-009155 • Experience: Significant securities, compliance or financial regulatory experience, prior experience in FINRA’s Exam and/or...
- IRG - All FINRA Locations H1: Associate... - IRG - All FINRA Locations H2: Essential Job... Functions Bullet points: - Perform intake and assessment of regulatory intelligence received from various sources - Analyze information, collect additional relevant...
FINRA Legal Extern, Enforcement (Unpaid)... 2025 Semester Organization: FINRA Job Type: Part-time,... unpaid Location: Various locations throughout the US Salary: Not applicable (unpaid) Experience: Graduate student pursuing JD or LLM Term of Position: Fall...
H1 Heading: Join FINRA as a Principal Analyst... in Member Supervision Operations H2 Headings: - Lead Regulatory Initiatives and Partner with Key Stakeholders - Develop and Maintain Operations, Procedures, and Standards - Review Subordinated Loans and Secured Demand...
H1: FINRA Job Opportunity: Principal Analyst,... All Locations H2: Join FINRA and Make a Difference... Financial Industry Organization: FINRA (Financial Industry Regulatory Authority)... Job Title: Principal Analyst, Risk Monitoring - Capital Markets Experience: Senior-level position Salary Range: Varies based...
Director, Examinations - All FINRA Locations - Organization:... FINRA - Job Title: Senior... Director, Examinations - Experience: Significant experience in securities, compliance, or financial regulatory field and managing projects/people - Job Type: Full time - Locations: New York, NY...
Risk Monitoring - All FINRA Locations Full-time position... ID: R-009196 Overview: FINRA, the Financial Industry Regulatory... Risk Monitoring at all FINRA locations. The successful candidate... ongoing risk assessments of FINRA members reporting to a... Risk Monitoring Director. This...
and Standards - All FINRA Locations Experience: Minimum 8 years Salary... Range: - CA: Minimum $128,000, Maximum $242,600 - CO/HI/MN/VT*: Minimum $111,400, Maximum $202,100 - IL*: Minimum $122,800, Maximum $222,400 - Jersey City, NJ/NYC, NY: Minimum $133,700, Maximum $242,600 - MA/WA: Minimum $111,400, Maximum $232,500 - MD/Washington,...
NCP - IRG at FINRA H1: Join FINRA as an... Associate Principal Investigator at FINRA Bold Headlines: - FINRA is Hiring... an Associate Principal Investigator, Join the Team at FINRA: Associate Principal Investigator, NCP... Investigate Regulatory Intelligence with FINRA as an Associate Principal......
- IRG - All FINRA Locations Salary Information:... degree preferred Organization: FINRA Department: Initial Review... Group (IRG) Locations: - Los Angeles, CA - Jersey City, NJ - Jericho, NY - Denver, CO - Dallas, TX -...
ongoing risk assessments for FINRA members. This senior-level position... as advanced knowledge of FINRA's risk fundamentals and securities... rules and regulations. The Principal Analyst will work closely with a Risk Monitoring Director to identify and address existing and emerging risks,...
Principal Investigator, NCP - IRG - All **MEMBERS ONLY**SIGN UP NOW***. Locations Job Title: Senior Principal Investigator, NCP - IRG Organization: **MEMBERS ONLY**SIGN UP NOW***. Department: Initial Review Group (IRG) Location: All **MEMBERS ONLY**SIGN UP NOW***. Locations (Boston, MA; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX;...
- IRG - All FINRA Locations Summary: ... intake and assessment for FINRA's Initial Review Group (IRG)... in all FINRA locations. They will analyze... degree and knowledge of FINRA rules and federal securities... laws. The salary ranges vary depending...
a specific market. The ideal candidate will have at least 5 years of investment experience and possess FINRA Series 7 and 63... licenses, as well as a California insurance license. This position offers a commission-based compensation structure with an an...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director in the Cyber and Analytics Unit (CAU) at the organization is responsible for leading the Cyber-Enabled Fraud (CEF) team. This involves overseeing the planning and execution of cyber-enabled fraud investigations...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist is responsible for executing functions that support the mission of the Financial Intelligence Unit (FIU) within the organization’s National Cause and Financial Crimes Detection Program (NCFC). This role involves...
Title: Principal Investigator, Specialist Team Job Responsibilities: The Principal Investigator, Specialist Teams, is responsible for conducting high complexity routine and special investigations of organization member firms. This includes investigating potentially suspicious activities of individuals associated with organization member firms and providing guidance...
Title: Examination Director Job Responsibilities: - Manage a team of 4-6 Examination Managers and Senior Principal Examiners, providing coaching, development, and mentorship. - Contribute to the annual Examination Planning efforts by sharing input and intelligence. - Communicate guidance, policies, and key initiatives effectively to...
Title: Professional Liability Partner Job Responsibilities: - Defend professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Engage in direct representation or through retention by a professional's insurance carrier. - Represent a diverse range of professionals...
Title: Professional Liability Associate Attorney Job Responsibilities: The Professional Liability Associate Attorney will join the Professional Liability Practice at the law firm. The primary responsibilities include defending professional liability claims across various professions. These claims involve Insurance Agents, Real Estate...
#Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled #San Francisco, California Financial Advisor Senior: Job Description, Salary, and Experience Job Title: Financial Advisor Senior Salary: Commission-based, with annual compensation range of $70,000 to $130,000 Experience: Minimum 5 years of investment related...
Title: Professional Liability Partner Job Responsibilities: - Defend professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Conduct strong research and writing tasks related to professional liability cases. - Represent various professionals either through direct engagement...
Overview: A nationally recognized law firm is seeking a Corporate Securities Attorney to join its Corporate Practice Group. This opportunity is ideal for a mid- to senior-level attorney with a strong background in securities law. The role will focus on...