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240

Finra Jobs





Job info
SPONSORED JOB
Company
Location
Washington, DC
Posted Date
Jun 30,20
Source
Employer     

Works efficiently and collaboratively with in-house business and technology personnel primarily through the negotiation of transactions and contracts but also when providing counsel on complex legal concepts relating to technology..

SPONSORED JOB
Job title
Company
Location
Los Angeles, CA
Posted Date
Jun 25,20
Source
Employer     

Are you an attorney with an interest in alternative dispute resolution Do you like being a team lead Do you have strong communication skills and attention to detail Do you..

SPONSORED JOB
Company
Location
Los Angeles, CA
Posted Date
Jun 25,20
Source
Employer     

Are you an experienced attorney 5 years with an interest in alternative dispute resolution Have you managed a team Do you have strong problem-solving and analytical skills as well as..

 
Company
Location
San Francisco, CA
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Los Angeles, CA
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Chicago, IL
Posted Date
Jul 05, 2020
Info Source
Employer  - Full-Time   

Examination Manager, Trading & Execution The candidate will ensure completion of risk-based examinations of FINRA member firms and registered representatives. Manages of 4-6 Examination Analysts. Manages direct reports performance on..

 
Company
Location
Boston, MA
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Chicago, IL
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Rockville, MD
Posted Date
Jul 05, 2020
Info Source
Employer  - Full-Time   

Senior Analyst - Public Offerings The candidate will perform analysis of complex and high-profile public offering transactions filed under severe market-driven timing pressure. Will provide opinions, on behalf of the..

 
Company
Location
Woodbridge, NJ
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Denver, CO
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Kansas City, MO
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets And Investment Banking Services The candidate will be responsible for: Conducts risk monitoring for member firms that can include complex or elevated risk firms with..

 
Company
Location
Jericho, NY
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

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

Associate Principal Analyst, Capital Markets And Investment Banking Services The candidate will be responsible for: Conducts risk monitoring for member firms that can include complex or elevated risk firms with..

 
Company
Location
New York City, NY
Posted Date
Jul 05, 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. Working closely with attorneys to assess how the record supports..

 
Company
Location
New Orleans, LA
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Dallas, TX
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Rockville, MD
Posted Date
Jul 05, 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
Atlanta, GA
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Washington, DC
Posted Date
Jul 05, 2020
Info Source
Employer  - Full-Time   

Assistant General Counsel, OGC The candidate will works efficiently and collaboratively with in-house business and technology personnel, primarily through the negotiation of transactions and contracts, but also when providing counsel..

 
Company
Location
Philadelphia, PA
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

 
Company
Location
Rockville, MD
Posted Date
Jul 06, 2020
Info Source
Employer  - Full-Time   

Principal Counsel, Market Regulation Duties: Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters. Determine and execute..

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

u003Cp style=text-align:inherit\u003Eu003Cu002Fpu003Eu003Cp style=text-align:inherit\u003EThe Associate Principal Examiner has demonstrated a proficient level of competence in identifying risks, developing regulatory strategies to address those risks and managing teams to achieve the goals..

 
Company
Location
Washington, DC
Posted Date
Jul 05, 2020
Info Source
Employer  - Full-Time   

Senior Special Counsel, Hearing Officer The candidate will be responsible for: Prepare timely and well written orders, default and hearing panel decisions. Effectively preside at contested hearings and pre-hearing conferences..

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

Essential Job Functions: Serve as a key member of Enforcement’s senior management team and partner closely with Technology, Member Supervision, Market Regulation, and the Office of the Chief Economist, and..

 
Company
Location
Boca Raton, FL
Posted Date
Jul 07, 2020
Info Source
Employer  - Full-Time   

Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..

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