Save your search progress and never miss an update
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...
Firm Seeking Securities Litigation & Regulatory Associate Attorney in Dallas, TX Bressler, Amery & Ross, a national law firm, is seeking a Securities Litigation & Regulatory Associate Attorney to join our Dallas office. This is a great opportunity for...
Enforcement: Supporting Legal Investigations and Operations Salary Range: Not specified Job Description: - Provide legal research and support to staff attorneys - Assist with preparation of exhibits and sharing of exhibits for testimony - Conduct customer interviews and prepare memorandums - Assist investigators with tasks such...
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...
friendly heading: "Join **MEMBERS ONLY**SIGN UP NOW***. as a Counsel - AVP in Wealth & Investment Management Legal" H2 friendly headings: - "Overview of the Role" - "Responsibilities and Duties" - "Required Qualifications" - "Desired Qualifications" - "Job Expectations and Benefits"...
Litigation Counsel, Enforcement The organization is currently seeking a Senior Litigation Counsel to join their Enforcement team. This role will be responsible for representing the organization in complex disciplinary and non-disciplinary proceedings, as well as handling appeals before the...
Attorneys and Cases for FINRA H2: Essential Job Functions... and Responsibilities Organization: FINRA (Financial Industry Regulatory Authority)... Job Title: Director, Enforcement Job Type: Full-Time Experience Required: Minimum 7 years of regulatory and/or litigation experience in the securities industry Location:...
Director of Enforcement is a key leadership role within the organization, responsible for managing a team of 5-8 Enforcement attorneys and overseeing the development and resolution of Enforcement cases. This position requires a law degree and a minimum of seven...
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...
Counsel, Enforcement - Represent FINRA in complex disciplinary proceedings... nationwide H2: Essential Job Functions and Responsibilities Bullet Points: - Represents FINRA in complex disciplinary proceedings... and appeals before the National Adjudicatory Council - Provides guidance and advice on issues...