Title: Sr. Director, Corporate Counsel - Investment Fund Job Responsibilities: The Sr. Director, Corporate Counsel will be a key member of the company's Legal Risk Sustainability Compliance (LRSC) Team, specifically focusing on supporting the company's real estate investment funds. The primary responsibilities...
Title: Director, Head of Surveillance Job Responsibilities: As the Director, Head of Surveillance, you will be responsible for managing the Electronic Communications Surveillance Program and Trade Surveillance for the Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. Key responsibilities include: -...
Title: Director, Head of Surveillance Job Responsibilities: As the Director, Head of Surveillance at the company, the candidate will manage the company's Electronic Communications Surveillance Program and Trade Surveillance for the company's CFTC Swap Dealer and three Broker-Dealers. The role involves maintaining...
Title: Examination Director Job Responsibilities: - Manage a team of 4-6 Examination Managers and Senior Principal Examiners. - Contribute insights and intelligence to inform annual Examination Planning efforts. - Effectively communicate guidance, policies, and key initiatives to staff and management. - Develop talent and set...
Assistant Job Title: Legal Assistant-Litigation/Office Manager Job Responsibilities: - Active management of clients - Manage all office operations, including payroll, vendors, banking, trust accounts, billing, and other administrative duties - Manage court filings through e-filing and attorney calendars - Prepare for trial, including exhibits and trial...
Title: Principal Investigator, Specialist Team Job Responsibilities: - Conduct high complexity routine and special investigations of organization member firms. - Investigate potentially suspicious activities of persons associated with organization member firms. - Provide guidance to Member Supervision staff on complex assignments. - Proactively surveil the...
Title: Senior Compliance Analyst (Regulatory Requests) Job Responsibilities: The Senior Compliance Analyst plays a pivotal role within the compliance program at the company. The primary responsibilities of this position include: - Providing general regulatory and compliance-related updates to ensure ongoing rule compliance across...
Title: Senior Principal Intelligence Specialist, FIU Job Responsibilities: The Senior Principal Intelligence Specialist within the Financial Intelligence Unit (FIU) of the organization's National Cause and Financial Crimes Detection Program (NCFC) is tasked with a variety of critical functions. These include the...
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...
Title: Senior Counsel - Public Finance Job Responsibilities: The Senior Counsel in the Public Finance department is responsible for performing significant and complex legal work while regularly interacting with management. The role includes overseeing legal research, analysis, consultation, and documentation within a...
Title: Senior Counsel - Public Finance Job Responsibilities: - Provide transactional support and regulatory advice to the company's national Public Finance business. - Perform significant and complex legal work while regularly interacting with management. - Oversee legal research, analysis, consultation, and documentation within a...
FINRA seeks an Associate Principal... Group (IRG) at all FINRA locations. This full-time position... involves reviewing and analyzing regulatory intelligence received from various sources, such as internal sources, regulatory tips, customer complaints, and referrals from other regulators. The Associate Principal...
- IRG - All FINRA Locations (Open) Full... Requisition ID: R-009227 FINRA's Initial Review Group (IRG)... is seeking an experienced and knowledgeable Associate Principal Investigator to join our team. The IRG is responsible for reviewing and analyzing regulatory...
Title: Senior Director, Cyber and Analytics Unit Job Responsibilities: The Senior Director within the organization's Cyber and Analytics Unit is responsible for leading the Cyber-Enabled Fraud (CEF) team. This team oversees the planning and execution of cyber-enabled fraud investigations involving member firms....
Title: Director, Advanced Planning - REMOTE Job Responsibilities: The Director, Advanced Planning is a client-facing role primarily focused on serving as an estate planning subject matter authority for high net worth clients and their advisors. This position is part of a regionally-aligned...
regulatory intelligence received by FINRA through various sources, including... filings. They will collaborate with other internal and external stakeholders to gather relevant information and make recommendations for the appropriate regulatory response. This role requires strong knowledge of relevant FINRA r...
II Job Category: Paralegals/Staff Timekeepers Requisition Number: HUPAR003672 Posting Details Posted: March 20, 2025 Full-Time On-site Job Details Description Law firm, an international law firm, is actively recruiting a Paralegal II. This position assists lawyers and non-attorney timekeepers with the preparation of complex legal documents,...
with leadership team. - Handle complex legal matters, including core business operations, capital markets and securities transactions, and corporate governance. - Draft and negotiate transaction agreements, marketing materials, and other legal documents. - Ensure compliance with SEC regulations, FINRA rules,...
job title: Insurance and Wealth Management Attorney - Vice President, Assistant General Counsel H1: Join Our Team as an Insurance and Wealth Management Attorney H2: Exciting Opportunity at JPMorgan Chase & Co. Bold Headline: Seeking Experienced Attorney...
Wealth Management and Consumer Banking Litigation Attorney - Vice President, Assistant General Counsel H2: Join a Prestigious Firm with Impactful Litigation Opportunities Overview: - Join the dynamic legal team at . Morgan as a Wealth Management and Consumer...
Information: * Competitive base salary plus bonus potential * Comprehensive benefits package including medical, dental, and vision coverage, life insurance, disability, and 401k plan * Paid time off including vacation, sick days, and holidays * Additional benefits such as pension...
Advisor III - Dallas / Fort Worth: - High-level relationship advisor for high net worth and ultra-high net worth clients - Responsible for developing and deepening client relationships through needs-based, high-level client service - Offers the full suite of...
Advisor III - Dallas / Fort Worth: - Available in 2 locations - Category: Wealth, Brokerage and Premier Banking - Posted Date: 08/28/2024 - Regular or Temporary: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States...
Financial Crimes - Compliance Testing, Vice President Apply locations Irving, TX time type Full time posted on Posted 2 Days Ago job requisition id 10068625-WD Do you want your voice heard...
Senior Counsel Mergers and Acquisitions at Kestra Holdings H2: Join Our Team and Make an Impact in the Wealth Management Industry Job Title: Senior Counsel Mergers and Acquisitions Company: Kestra Holdings Location: Austin, Texas, United States of America Salary:...
- IRG - All FINRA Locations: - Salary... of the salary range. FINRA provides full pay ranges... growth potential while at **MEMBERS ONLY**SIGN UP NOW***. - Job title: Senior... - IRG - All FINRA Locations - Experience information:... Experience in the securities/financial...
and Standards - Organization: FINRA (Financial Industry Regulatory Authority)... - Location: All FINRA locations - Time Type:... Full Time - Job Requisition ID: R-009247 - Experience: Minimum of 8 years of relevant experience - Education: Bachelor's degree in Accounting, Finance,...
Financial Crimes Officer, OFAC Sanctions - Full time R-448412 About the company: - **MEMBERS ONLY**SIGN UP NOW***. is a leading financial services company that provides banking, investment, mortgage, and consumer and commercial finance products and services. - With over...
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,...
and Standards - All FINRA Locations H2: Experienced Individual... Procedures and Standards Organization: FINRA Department: Member Supervision Operations,... OPS) Experience: Experienced individual contributor Salary Range: $95,300 - $206,200 (varies by location and experience) Job Summary: FINRA is seek...
Capital Markets - All FINRA Locations H2: Conduct Risk... Activities and Assessments for FINRA Members Organization: **MEMBERS ONLY**SIGN UP NOW***... Salary Information: -... CA: Minimum Salary $109,600, Maximum Salary $206,200 - CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800 - IL*: Minimum...
Director, Examinations - All FINRA Locations Salary Information: -... Salary ranges vary based on location and other factors such as experience and education - Full-time position with benefits including health, dental, and vision insurance, 401(k) plan with company match, and...
Risk Monitoring - All FINRA Locations Apply Logo ... Risk Monitoring - All FINRA Locations H2: Job Summary... Organization: FINRA Job Title: Principal Analyst,... ID: R-009196 Posted On: Posted Today FINRA is currently seeking a... highly experienced Pri...
- IRG - All FINRA Locations H1 Heading:... Join FINRA as an Associate Principal... - Salary Information - Time Off and Paid Leave - Important Information - Search Firm Representatives Bold Headlines: - FINRA's Initial Review Group (IRG......
and Standards - All FINRA Locations Full time... R-009155 FINRA is currently seeking a... Director of MS Operations, Procedures and Standards to join our team in various locations including Rockville, MD, Jersey City, NJ, Jericho, NY, Denver,...
now. SEO friendly job title: Family Office Solutions Client Specialist – Central Region H1: Join **MEMBERS ONLY**SIGN UP NOW***. as a Family Office Solutions Client Specialist H2: About the Role H2: Your Responsibilities H2: Your Team...
Client Specialist – Central Region is a crucial role within **MEMBERS ONLY**SIGN UP NOW***.' Global Wealth Management division. This role is responsible for developing and maintaining relationships with high net worth and ultra-high net worth clients, specifically those with assets of $50 million...
Firm Seeking Securities Litigation & Regulatory Associate Attorney in Dallas, TX **MEMBERS ONLY**SIGN UP NOW***., a national law firm, is seeking a Securities Litigation & Regulatory Associate Attorney to join our Dallas office. This is a great opportunity for an experienced attorney...
is responsible for representing FINRA in complex disciplinary and... and the National Adjudicatory Council and providing guidance to other departments within FINRA on related issues. The... ideal candidate will have a law degree and at least ten years of experien...
Risk Representatives - All FINRA Locations H2: Conduct... Risk Representatives Organization: FINRA Department: Specialist Teams... Location: All FINRA Locations (New York, NY;... Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Jersey...
FINRA is seeking an experienced... (IRG) team at all FINRA locations. This is a... full-time position with a competitive salary based on experience and location. As an Associate Principal Investigator, you will be responsible for performing intake and assessment of...
Overview: A respected national law firm is actively seeking a Corporate Securities Attorney with 5–12 years of experience to support its Corporate Practice Group. This attorney will work closely with public and private companies on securities regulatory compliance, capital markets...