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from an accredited law school and admission to a bar required • Expertise in laws, rules, and regulations governing the securities industry preferred Key... Responsibilities: • Render senior-level legal advice and support in connection with the complete...
Principal Counsel, Enforcement - $150,000-$200,000/year - Full Time - R-007990 H2: Join Our Team as an Enforcement Principal Counsel with FINRA! Are you a skilled and experienced attorney looking for a challenging and rewarding career opportunity? Look no...
Enforcement The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly....
- Join the leading securities regulator in the US... - Oversee AML and anti-fraud investigations - Lead a team of highly skilled specialists - Develop and execute strategies to mitigate risks - Collaborate with industry and external stakeholders - Competitive...
President—Appellate (SVP) will oversee the legal support and guidance provided to the National Adjudicatory Council (NAC) in deciding disciplinary cases, membership applications, statutory disqualifications, and exemptive requests. This role also involves managing the defense of FINRA’s final actions... in...