Finra Attorney Jobs in Raleigh

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 ..

Website and Mobile App Accessibility and Compliance Director Duties: Manages, trains, and grows an onshore and offshore team. Acts as the subject matter expert for clients to meet their Cookie, Pixel, ..

Head of Derivative and Collateral Operations The candidate will provide leadership to their related teams to improve processes, implement controls, manage budgets, and roll out new trade support needs. Implement operational ..