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126

Finra Jobs





Job info
SPONSORED JOB
Company
Location
Washington, DC
Posted Date
Nov 07,20
Source
Employer   

Job Summary This position performs a variety of specific duties in support of the Office of Hearing Officers operations and functions including applying analytical skills to assist the Hearing Officers..

SPONSORED JOB
Company
Location
Washington, DC
Posted Date
Nov 07,20
Source
Employer   

Job Summary Supports OGC Regulatory attorneys in connection with the complete life cycle of the adoption of new regulatory initiatives Applies substantial analytical skills regarding various rules and regulatory requirements..

SPONSORED JOB
Company
Location
Rockville, MD
Posted Date
Nov 07,20
Source
Employer     

Job Summary The Principal Counsel works under minimal supervision to independently resolve non-complex Enforcement matters and to contribute substantive high quality work for large complex matters Essential Job Functions Resolve..

 
Company
Location
Washington, DC
Posted Date
Nov 07, 2020
Info Source
Employer  - Full-Time   

Job Summary: The Associate General Counsel, Labor and Employment provides legal counseling to the company on employment law matters, offers pre-litigation expertise, manages litigation risk in pending lawsuits, and prepares..

 
Company
Location
Washington, DC
Posted Date
Nov 07, 2020
Info Source
Employer  - Full-Time   

Job Summary: This position performs a variety of specific duties in support of the Office of Hearing Officers’ operations and functions, including applying analytical skills to assist the Hearing Officers..

 
Company
Location
New York City, NY
Posted Date
Nov 07, 2020
Info Source
Employer  - Full-Time   

Additional Locations: Chicago, IL & Rockville, MD Job Summary: The Enforcement Chief Counsel leads teams of Enforcement directors and the attorneys who report to them, to manage Enforcement cases through..

 
Company
Location
Washington, DC
Posted Date
Sep 19, 2020
Info Source
Employer  - Full-Time   

Regulatory Policy Specialist, Regulatory Duties: Supports OGC Regulatory attorneys in connection with the complete life cycle of the adoption of new regulatory initiatives. Applies substantial analytical skills regarding various rules..

 
Company
Location
Rockville, MD
Posted Date
Sep 18, 2020
Info Source
Employer  - Full-Time   

Analyst, Corporate Finance The candidate reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. Conducts investigations of cases which have been identified as..

 
Company
Location
Washington, DC
Posted Date
Sep 08, 2020
Info Source
Employer  - Full-Time   

Assistant General Counsel, Compliance Duties: Provide crucial thought-leadership and action in the creation and implementation of FINRA’s Compliance Program, to include development of various aspects of the program over time..

 
Company
Location
New York City, NY
Posted Date
Oct 27, 2020
Info Source
Employer  - Full-Time   

u003Cp style=text-align:inherit\u003Eu003Cu002Fpu003Eu003Cp style=text-align:inherit\u003EThe Enforcement Investigative Director manages a team of Enforcement investigators developing the factual record in Enforcement cases of various sizes and levels of complexity. The Investigative Director is..

 
Company
Location
Rockville, MD
Posted Date
Nov 07, 2020
Info Source
Employer  - Full-Time   

Additional Locations: New York, NY & Washinton, DC Job Summary: The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters. Essential Job Functions:..

 
Company
Location
Dallas, TX
Posted Date
Nov 15, 2020
Info Source
Employer  - Full-Time   

Full Time The Financial Intelligence Unit (FIU) within FINRA's National Cause and Financial Crimes Detection Program (NCFC) is charged with collecting and analyzing internal and external intelligence to proactively identify..

 
Company
Location
Washington, DC
Posted Date
Sep 18, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, International Affairs Duties: Conduct research and analysis of international developments covering a wide range of financial regulatory topics and jurisdictions with minimal supervision to inform senior management..

 
Company
Location
Washington, DC
Posted Date
Nov 07, 2020
Info Source
Employer  - Full-Time   

Job Summary: Supports OGC Regulatory attorneys in connection with the complete life cycle of the adoption of new regulatory initiatives. Applies substantial analytical skills regarding various rules and regulatory requirements..

 
Company
Location
Rockville, MD
Posted Date
Nov 07, 2020
Info Source
Employer  - Full-Time   

Job Summary: The Principal Counsel works under minimal supervision to independently resolve non-complex Enforcement matters, and to contribute substantive high quality work for large complex matters. Essential Job Functions: Resolve..

 
Company
Location
Washington, DC
Posted Date
Sep 18, 2020
Info Source
Employer  - Full-Time   

Director, Investor Education Community Outreach The candidate will be responsible for: Develop and manage outreach and public engagement initiatives that benefit underserved financial consumers and investors, and include people from..

 
Company
Location
Rockville, MD
Posted Date
Nov 13, 2020
Info Source
Employer  - Full-Time   

Full Time The Financial Intelligence Unit (FIU) within FINRA's National Cause and Financial Crimes Detection Program (NCFC) is charged with collecting and analyzing internal and external intelligence to proactively identify..

 
Company
Location
New York City, NY
Posted Date
Nov 19, 2020
Info Source
Employer  - Full-Time  

Job Summary: The Senior HR Business Partner (BP) serves as a trusted advisor, providing strategic advice and counsel for the senior leaders of the designated business unit(s) across the full..

 
Company
Location
Highlands Ranch, CO
Posted Date
Nov 13, 2020
Info Source
Employer  - Full-Time   

Full Time The Financial Intelligence Unit (FIU) within FINRA's National Cause and Financial Crimes Detection Program (NCFC) is charged with collecting and analyzing internal and external intelligence to proactively identify..

 
Company
Location
Washington, DC
Posted Date
Nov 20, 2020
Info Source
Employer  - Full-Time   

Job Summary: Render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or..

 
Company
Location
Rockville, MD
Posted Date
Sep 18, 2020
Info Source
Employer  - Full-Time   

Director, Enforcement Duties: Provide oversight, direction and active management to Enforcement attorneys to achieve timely and foreseeable high-quality Enforcement outcomes. This includes working closely with attorneys to assess how the..

 
Company
Location
Rockville, MD
Posted Date
Nov 07, 2020
Info Source
Employer  - Full-Time   

Job Summary: The Associate Principal Data Analyst (Privacy Analyst) performs a variety of specific duties depending upon the current needs of the Data Privacy & Protection (DPP) department under the..

 
Company
Location
Washington, DC
Posted Date
Nov 07, 2020
Info Source
Employer  - Full-Time   

Additional Locations: New York, NY & Rockville, MD Job Summary: The Ethics / Code of Conduct Office (the Ethics Office) is responsible for ensuring that FINRA executes its regulatory responsibilities..

 
Job title
GRANTED JOB
Company
Location
Chicago, IL
Posted Date
Sep 09, 2020
Info Source
Employer  - Full-Time   

Investigator, ORSA The candidate conducts routine reviews and investigations of unusual market activity for evidence of potential insider trading in options and for possible violations of relevant FINRA rules and..

 
Company
Location
Los Angeles, CA
Posted Date
Nov 13, 2020
Info Source
Employer  - Full-Time   

Full Time The Financial Intelligence Unit (FIU) within FINRA's National Cause and Financial Crimes Detection Program (NCFC) is charged with collecting and analyzing internal and external intelligence to proactively identify..

 
Company
Location
New York City, NY
Posted Date
Sep 29, 2020
Info Source
Employer  - Full-Time   

Case Administrator, Dispute Resolution Duties: Manages assigned docket of cases, with responsibility to ensure that all case activities proceed timely and accurately. Utilizes the ODR Portal and internal docket management..

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