FINRA is a registered trademark... Full Time Position with FINRA H2: Join Our Team and... Make a Difference in the Financial Industry Organization: **MEMBERS ONLY**SIGN UP NOW***. Department: Office of Oversight Liaison and Counsel (OLC) Job Title: Senior Paralegal, Oversight Liaison and Counsel Essential Job Functions: - Provide paralegal...
Join the Team at FINRA as an Associate General... Counsel for Capital Markets H2 Heading: Expert Legal Counsel and Policy Advisor for High-Impact Regulatory Initiatives Bullet Points: - Provide expert legal knowledge and advice to the Board of...
am able to perform the essential functions of the job with or without reasonable accommodation.* Select... Job Title: Assistant General Counsel, Regulatory Experience: 10+ years of legal practice experience specializing in advising retail broker-dealers Salary Range: $179,000 - $270,000 USD (based on location) Location:...
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...
Title: Assistant General Counsel - Secretary & Securities Governance Job Responsibilities: The Assistant General Counsel - Secretary & Securities Governance at the company is a pivotal leadership role responsible for managing corporate governance, securities compliance, and regulatory matters. The primary duties include...
Title: Assistant General Counsel - Secretary & Securities Governance Job Responsibilities: The Assistant General Counsel - Secretary & Securities Governance is a pivotal leadership role tasked with managing corporate governance, securities compliance, and regulatory matters for the company. The responsibilities include: -...
Litigation Paralegal, Enforcement Services The Senior Litigation Paralegal is responsible for providing support to the Enforcement Department in all litigation matters. This position requires advanced knowledge of legal procedures and terminology, as well as strong analytical and organizational skills....
H2: Provide High-Level Administrative and Programmatic Support to OGC Regulation Offices Organization: FINRA Department: Office of... General Counsel (OGC) Regulatory Policy, Capital Markets, and Appellate Salary Information: - Minimum Salary: Varies based on location (see chart...
Appellate Legal Support at FINRA H1: Join Our... Appellate Legal Support at FINRA H2: Lead and... High-Quality Legal Support for FINRA's Appellate Process Bold... and rewarding opportunity? Join FINRA as our new Associate... Legal Support! Organization: FINRA (Financial Industry Regulatory Aut......
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...
Attorney, Regulatory Organization: FINRA (Financial Industry Regulatory Authority)... Experience: 1-3 years of relevant legal experience Location: Washington, DC Salary Range: - CA: Minimum Salary $91,500, Maximum Salary $170,900 - CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,300...
Attorney, Office of the Corporate Secretary Salary Information: - Minimum salary ranges from $79,500 to $95,400, depending on location and other factors. - Maximum salary ranges from $142,300 to $170,900, depending on location and other factors. Experience Information: - A minimum of two years of...
©2019 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. **MEMBERS ONLY**SIGN UP NOW***... is a registered trademark... handle information requests from FINRA, its officers, and employees,... as well as third-party subpoenas in arbitration proceedings and litigation cases. This position requires a law degree and a minimum of...
Litigation Counsel, Enforcement Services The organization is currently seeking a highly skilled and experienced Senior Litigation Counsel to join their team in various locations across the United States. The ideal candidate will have a law degree and be licensed...
Regulation H1: Join FINRA's Legal Team as a... Job Summary: The Senior Litigation Counsel is responsible for representing FINRA in complex disciplinary proceedings,... appeals, and other legal matters related to securities regulations. This role requires a law d...
our careers site. FINRA is an Equal Opportunity... and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex/gender (including pregnancy), sexual orientation,...
effective legal support to FINRA Hearing Officers in connection... adjudication of disciplinary proceedings on a wide range of cases brought by FINRA’s Department of Enforcement against FINRA-registered firms and persons associated... with FINRA-registered firms. This is a... senior-level legal rol...
Friendly Job Title: Principal Counsel & Associate Director, Enterprise Data Privacy Office H1 Heading: Join the FINRA Team as Principal Counsel... & Associate Director, Enterprise Data Privacy Office H2 Washington, DC Organization: FINRA (Financial Industry Regulatory Authority)......
and H2 friendly headings: H1: Vice President, Enforcement Legal - Lead Attorney Teams and Oversee High-Impact Investigations and Disciplinary Actions H2: Essential Job Functions H2: Specific Responsibilities H2: Education/Experience Requirements H2: Working Conditions H2:...
Attorney (White Collar) in Washington, .: Join Clark Hill's Litigation Business Unit with a competitive salary and benefits package. H1: Litigation Attorney (White Collar) Position in Washington, . at Clark Hill Law Firm H2: Experienced Attorney with Financial...
Title: VP, Associate General Counsel- Litigation and Arbitration Experience: At least 7-8 years of arbitration/litigation experience, preferably in the financial services industry Location: San Diego, New York, Fort Mill/Charlotte, Washington ., Boston Time Type: Full time Requisition ID: R-042688...
Title: Senior Counsel - Public Finance Job Responsibilities: The Senior Counsel in the Public Finance department is expected to provide transactional support and regulatory advice to the company's national Public Finance business. The role involves performing significant and complex legal work while...
Title: VP AGC – Wealth Management Platforms, Programs & Advisory Attorney Job Responsibilities: - Counsel wealth management business teams through all stages of developing new initiatives, including creating or enhancing platforms and programs, supporting new affiliation and distribution models, and drafting related...
and Standards - All FINRA Locations FINRA is... currently seeking a Director for their Member Supervision Operations, Procedures and Standards team. This individual will report directly to the Vice President and will be responsible for providing strategic leadership and...
Organization: FINRA is a not-for-profit organization... in the United States. FINRA, overseen by the SEC,... and enforces compliance with FINRA rules and federal securities... laws, registers broker-dealer personnel and offers them education and training, and informs the investing public....
- 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...
Law School Intern with FINRA's Office of General Counsel H2... Gain Valuable Experience in Labor, Employment, and Benefits Law Organization: FINRA (Financial Industry Regulatory Authority) Department:... Office of General Counsel Litigation – Labor, Employment, and Benefits Experience: Candidates entering second or third year o...
Monitoring Analyst - Any FINRA Location Salary Information: - Based on... location and individual factors such as skill set, experience, and education - Salary ranges from $79,500 to $170,900 for various locations including CA, CO, HI, MN, VT, IL, Jersey City, NJ, New...
Cross-Functional Initiatives and Projects Organization: FINRA Location: Rockville, MD; Washington, DC;... New York, NY Time Type: Full time Salary Range: $111,400 - $242,600 (varies by location and qualifications) Job Summary: The Associate Director of the Offices of Chief Legal Officer (OCLO) Operations is responsible for leading...
financial services industry or regulation at FINRA or similar organizations - Education:... Bachelor's degree in business, communications, technology or related field, advanced degree preferred - Location: Washington, DC, Rockville, MD, New York, NY - Time Type: Full time - Job Requisition ID: R-009039 - Departmen...
Risk Monitoring - All FINRA Locations Job Title:... Associate Principal Analyst, Risk Monitoring Organization: FINRA Department: Surveillance ... Experience: Minimum of four years of experience in the securities/financial services industry Location: Woodbridge, NJ, Jericho, NY, Denver,...
Title: Director, Operations, Procedures and Standards Experience: Significant securities, compliance or financial regulatory experience Salary Information: - CA: Minimum Salary $150,600, Maximum Salary $305,000 - CO/HI/MN/VT*: Minimum Salary $131,100, Maximum Salary $254,000 - IL*: Minimum Salary $144,000, Maximum Salary $279,500...
Member Supervision - Any FINRA Location The Senior... Fusion Center (FIFC) within FINRA's Strategic Intelligence and Analytics... Program will lead a team responsible for aggregating and disseminating real-time intelligence collected by FINRA, member firms, regulators, and... law enforcement. The...
salary range. Organization: FINRA Department: Examination Location: All... FINRA Locations Job Title: Examination... Manager Experience: Significant securities, compliance or financial regulatory experience Education: Bachelor's Degree or equivalent combination of education and experience, MBA, JD, other graduate degree and/or relevant...
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,...
Principal Analyst, Dispute Resolution Organization: FINRA (Financial Industry Regulatory Authority) Department:... Dispute Resolution Experience: 5+ years Location: Chicago, IL; Jersey City, NJ; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Rockville, MD; New York, NY; Los Angeles, CA Time Type: Full Time Salary Range: $95,300 - $206,200...
Summary: Organization: FINRA (Financial Industry Regulatory Authority)... degree preferred Location: Various FINRA 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,...
Risk Representatives - All FINRA Locations H2: Conduct High... Member Supervision Staff FINRA, the Financial Industry Regulatory... Authority, is currently seeking a Principal Investigator to join their team in various locations across the United States. This is a full-time...
National Arbitration Program Organization: FINRA Key Responsibilities: ... Provide guidance and training to regional offices on case administration and new rules and procedures. - Update FINRA publications related to arbitration... process and serve as an expert on expungement, jurisdiction,...
- IRG - All FINRA Locations H1: Join... FINRA as an Associate Principal... Investigate Regulatory Matters at FINRA's IRG Department Associate... - IRG - All FINRA Locations Full Time Position... at FINRA's Initial Review Group (IRG)... R-009174 Job...
Friendly Job Title: Associate Director, Regulatory Policy Legal Support - Washington, DC/Rockville, MD H1 Heading: Join Our Team as the Associate Director of Regulatory Policy Legal Support H2 Heading: Essential Job Functions and Requirements for the Associate Director...
Program Administrator, OGC Regulation - Washington, DC - Salary range varies based on location, experience, and qualifications - Full-time, hybrid work environment with occasional travel required - Bachelor's degree and minimum of 6 years of experience in administrative or...
Legal Support Organization: FINRA (Financial Industry Regulatory Authority)... Location: Washington, DC Job Type: Full Time Salary Range: $111,400 - $242,600 (based on location and experience) Job Requisition ID: R-009193 Posted On: Posted Today The Associate Director, Appellate...
law firm in Washington, DC, is seeking a Senior Corporate Securities Associate Attorney or Counsel to join their team. The ideal candidate will have extensive experience in securities law and corporate governance, with a strong background in public company regulations...