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Counsel - Enforcement The candidate will be responsible for: Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy; Execute an effective risk-based legal strategy to assess the record..
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..
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..
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Director, Member Supervision Project Management Duties: Serve as lead for an assigned program and provide a holistic view of all projects and operational changes to ensure proper service/deliverables are provided...
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..
Assistant General Counsel, Regulatory Duties: With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and sensitive regulatory initiatives and rule changes under consideration..
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..
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..
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..
Counsel, Enforcement The candidate will be responsible for: Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly;..
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..
