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FINRA Department: Enforcement Job Title: Principal Counsel Experience: Minimum of seven years relevant legal experience in the financial regulatory space or related areas Education: Juris Doctor (.) degree from an accredited law school Salary Range:...
organization that regulates the securities industry. FINRA’s independent regulation... every aspect of the securities business—from registering and educating... industry participants to examining securities firms; writing rules; enforcing... those rules and the federal securities laws; informing and educating... the investing public;...
Litigation Counsel, Enforcement - Salary Information Job Title: Senior Litigation Counsel, Enforcement Experience: Thirteen years of litigation experience Location: Washington, DC, Jersey City, NJ, Jericho, NY, Denver, CO, Dallas, TX, Chicago, IL, Boston, MA, Boca Raton, FL, Woodbridge, NJ,...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Enforcement - Job Description Title: Director, Enforcement Location: Woodbridge, NJ; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Washington, DC; San Francisco, CA; Rockville, MD; Philadelphia, PA; New York,...
of Director, Enforcement Position Bold Headlines: Director, Enforcement: Leading and Managing a Team of Attorneys Job Title: Director, Enforcement Salary Information: Salary ranges from $127,300 to $296,100, depending on location and qualifications Experience: Minimum of 7 years of securities-related regulatory and/or complex litigation... experience...
and Salary Information Organization: FINRA Job Title: Director, Enforcement Experience: Minimum 7 years in securities-related regulatory and/or complex litigation... Type: Full-time Salary: Varies by location, ranging from $127,300 - $296,100 Overview: FINRA, the Financial Industry Regulatory Aut...
is seeking a highly motivated and experienced Assistant General Counsel, Regulatory to join our team. This senior-level position will provide legal advice and support in the adoption of new regulatory initiatives and serve as a subject matter expert in various...
offers a comprehensive benefits package that includes health, dental, and vision insurance, 401(k) with a generous matching contribution, tuition reimbursement, and a variety of other benefits. Organization: FINRA Department: Enforcement FINRA is an Equal Opportunity and Affirmative...
understand the importance of accurate and timely tax reporting in the financial services industry. As the Tax Senior Manager in our Customer Tax Operations and Reporting team, you will have the opportunity to work with a diverse range of clients...