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The Litigation Director manages a team of dedicated litigation attorneys and other staff and as necessary litigates non-disciplinary and disciplinary proceedings as first or second chair The Litigation Director will..
What s your passion FINRA s is protecting investors and stopping those who harm them If you are interested in joining a mission-driven organization and working with a team of..
Rockville Omega NYC Brookfield Place Apply The Appellate Director works under the Vice President Litigation to manage and execute the Enforcement Department s national appellate program Essential Job Functions As..
Job Description: The Investigator conducts routine reviews and investigations of unusual market activity for evidence of potential insider trading and for possible violations of relevant FINRA rules and the federal..
Principal Analyst The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of firm’s members reporting to a Risk Monitoring Director. Will conducts risk monitoring activities,..
Job Location: Rockville, Maryland Duties: Analyze business and software requirements to determine design feasibility; review and analyze complex processes, systems and/or data requirements and specifications; serve as the primary designer..
Directly supervise litigation attorneys and other staff, located across the country, in non-disciplinary and disciplinary proceedings. Actively manage all non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification..
Job Description: Enforcement Director of Data Analytics and Technology will provide critical leadership and strategic direction in driving Enforcement’s technology initiatives and transformative vision of analytically enabled investigations and disciplinary..
Job Description: Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: This is a senior-level position reporting..
FINRA’s Enforcement Department is tasked with investigating potential securities violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons. We have an exciting opportunity for an..
Job Description: 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..
As subject matter expert, responsible for managing Enforcement’s appellate program, including representing Enforcement in all appeals before the National Adjudicatory Council and overseeing Enforcement attorneys responsible for briefing or arguing..