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263

Finra Jobs





Job info
SPONSORED JOB
Company
Location
Rockville, MD
Posted Date
Sep 22,20
Source
Employer     

The Data Privacy Protection Office the Privacy Office is responsible for ensuring that FINRA meets or exceeds its legal and ethical obligations with respect to the security and use of..

SPONSORED JOB
Company
Location
Rockville, MD
Posted Date
Sep 29,20
Source
Employer   

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 Resolve..

SPONSORED JOB
Company
Location
New York City, NY
Posted Date
Oct 01,20
Source
Employer   

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 all..

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

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;..

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

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..

 
Company
Location
New York City, NY
Posted Date
Sep 18, 2020
Info Source
Employer  - Full-Time   

Counsel, Enforcement The candidate will resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Will execute an effective risk-based legal strategy to assess the record fairly. Recommend a..

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

u003Cp style=text-align:inherit\u003Eu003Cu002Fpu003Eu003Cp style=text-align:inherit\u003EThis 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
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
Rockville, MD
Posted Date
Sep 23, 2020
Info Source
Employer  - Full-Time   

Full Time The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. The Director is the day-to-day manager..

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

u003Cp style=text-align:inherit\u003Eu003Cu002Fpu003Eu003Cp style=text-align:inherit\u003EThis 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
Washington, DC
Posted Date
Sep 18, 2020
Info Source
Employer  - Full-Time   

Counsel, Enforcement The candidate will resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Will execute an effective risk-based legal strategy to assess the record fairly. Recommend a..

 
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
Sep 23, 2020
Info Source
Employer  - Full-Time   

Full Time 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
Rockville, MD
Posted Date
Sep 18, 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
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
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 18, 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
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
Sep 24, 2020
Info Source
Employer  - Full-Time   

Investigator, PIPES Duties: Analyze trading activity for indications of potential insider trading or fraudulent activity related to private placement transactions (PIPEs) and equity crowdfunding offerings. Conduct routine reviews and investigations..

 
Company
Location
Washington, DC
Posted Date
Sep 23, 2020
Info Source
Employer  - Full-Time   

Full Time Provides paralegal support for the adjudicatory processes of the National Adjudicatory Council (NAC), to include preparing and maintaining records and hearing kits, drafting correspondence, summarizing transcripts, and scheduling..

 
Company
Location
New York City, NY
Posted Date
Sep 28, 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..

 
Company
Location
Washington, DC
Posted Date
Sep 23, 2020
Info Source
Employer  - Full-Time   

Full Time Provides paralegal support for the adjudicatory processes of the National Adjudicatory Council (NAC), to include preparing and maintaining records and hearing kits, drafting correspondence, summarizing transcripts, and scheduling..

 
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
Washington, DC
Posted Date
Sep 23, 2020
Info Source
Employer  - Full-Time   

Full Time 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
Sep 18, 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..

 
Job title
GRANTED JOB
Company
Location
Rockville, MD
Posted Date
Sep 23, 2020
Info Source
Employer  - Full-Time   

Full Time The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. The Director is the day-to-day manager..

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