Finra Attorney Jobs in Illinois

Chief Risk Officer The candidate will be responsible to manage and improves the firm’s enterprise-wide COSO-compliant risk management framework. Work effectively with business units to identify, analyze, and mitigate internal and ..

Chief Counsel, Market Regulation Enforcement The candidate will be responsible for managing Enforcement outcomes and implementing priorities for the Enforcement department, ensuring maximum productivity and effectiveness with a large and complex ..

Principal Analyst, Risk Monitoring The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Will support both that direct manager in identifying ..

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. Manage ..

Associate General Counsel – Enforcement Responsibilities: Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities. Working with outside counsel in managing larger enforcement matters brought by the ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Compliance Analyst The candidate should have strong understanding of options and futures. Will assist and report to the CCO for all compliance management. Will work closely with regulatory inquiries that may ..

... for possible violations of relevant FINRA rules and the federal securities ... investigations of possible violations of FINRA rules and the federal securities ... well-written requests for information from..

Principal Analyst - Risk Monitoring - Retail - FinTech and Retail with Carrying and Clearing The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a ..