Finra Attorney Jobs in Pennsylvania

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 ..

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 fair ..

Build your career in our highly regarded private equity and venture practice Our private equity and venture practice is growing fast. We are looking to grow the team with the addition ..

Manager Compliance, Personal Securities Trading The candidate will lead, coach and develop onshore and offshore teams. Support department audits and exams. Oversee all day-to-day operations which consist of reviewing compliance reports, ..

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 ..

Director, Compliance Program Office The candidate will be responsible for developing and maintaining comprehensive rules to controls identification and assessment framework (controls framework) for Member Supervision in coordination with the Office ..

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 ..

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 ..

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 ..