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325

Finra Jobs





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SPONSORED JOB
Company
Location
Rockville, MD
Posted Date
Apr 05,20
Source
Employer   

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..

SPONSORED JOB
Company
Location
New York City, NY
Posted Date
Apr 07,20
Source
Employer     

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..

SPONSORED JOB
Company
Location
Rockville, MD
Posted Date
Apr 05,20
Source
Employer   

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..

 
Company
Location
Rockville, MD
Posted Date
Apr 01, 2020
Info Source
Employer  - Full-Time  

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..

 
Company
Location
Boca Raton, FL
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

 
Company
Location
Los Angeles, CA
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

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

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..

 
Company
Location
Jericho, NY
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

 
Company
Location
San Francisco, CA
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

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

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..

 
Company
Location
Rockville, MD
Posted Date
Apr 01, 2020
Info Source
Employer  - Full-Time  

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..

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

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..

 
Company
Location
New York City, NY
Posted Date
Apr 01, 2020
Info Source
Employer  - Full-Time  

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..

 
Company
Location
Denver, CO
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

 
Company
Location
Kansas City, MO
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

 
Company
Location
Dallas, TX
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

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

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..

 
Company
Location
Atlanta, GA
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

 
Company
Location
Philadelphia, PA
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

 
Company
Location
Chicago, IL
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

 
Company
Location
Rockville, MD
Posted Date
Apr 01, 2020
Info Source
Employer  - Full-Time  

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..

 
Company
Location
New Orleans, LA
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

 
Company
Location
Woodbridge, NJ
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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 title
GRANTED JOB
Company
Location
Boston, MA
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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 title
GRANTED JOB
Company
Location
Brookfield, NY
Posted Date
Apr 06, 2020
Info Source
Employer  - Full-Time   

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,..

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

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..

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