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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...
report to the Commercial Broker Dealer Chief Compliance Officer and support three institutional FINRA registered broker dealers. This... role will provide compliance support to the Capital Markets division within the Commercial Bank of Capital One. The broker dealers being suppo...
Senior Counsel, Litigation, Enforcement, and Investigations H2: Join Vanguard's Legal Team as a Senior Counsel Vanguard, a leading financial services company, is seeking a Senior Counsel to handle litigation and dispute resolution for the organization and its subsidiaries....
Consultant, Advanced Sales (*remote) Date: Jan 17, 2025 Primary Location: Radnor, PA, US Company: Lincoln Financial Work Arrangement: Remote : Work at home employee residing outside of a commutable distance to an office location....
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...
law firm in Philadelphia, PA, is seeking a Senior Corporate Securities Associate Attorney or Counsel. The ideal candidate will possess over 6 years of comprehensive experience in corporate securities law, including public company regulations, securities offerings, and corporate governance. This...
DEPARTMENT: Enforcement ORGANIZATION: FINRA SALARY: Based on... experience H1: Join FINRA as a Paralegal in... Legal Support Opportunity at FINRA - Apply Now! ... Summary: Join FINRA, the Financial Industry Regulatory... Authority, as a Paralegal in...
attention to detail and organizational skills. Team-oriented mindset. Salary: The salary for this position is competitive and commensurate with experience. Job Title: Litigation Paralegal Experience: 4+ years Salary: Competitive and commensurate with experience...
About FINRA FINRA is a... regulates the securities industry. FINRA is dedicated to investor... conduct securities transactions for FINRA member firms must pass... the Series 7 exam, as well as the Securities Industry Essentials (SIE) exam, and be registered...
About FINRA FINRA is a... Regulatory Authority, Inc. FINRA is an equal opportunity... or any other factor. FINRA is committed to providing... accommodations for individuals with disabilities. If you need assistance with the online application process, please contact...