Regulatory Broker Dealer Securities Attorney Jobs in Philadelphia
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Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: FINRA abides by the requirements of 41 CFR 60-1.4(a), 60-300.5(a) and 60-741.5(a). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their ...
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Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 06, 2024
SUMMARY: About FINRA FINRA is a non-governmental organization that regulates the securities industry. FINRA protects investors by making sure the securities industry operates fairly and honestly. FINRA oversees about 3,600 brokerage firms, about 160,000 branch offices and approximately 630,000 registered ...
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Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 11, 2024
SUMMARY: Senior Principal Investigator, Cyber Enabled Fraud Group - All FINRA Locations Full time posted on Posted Today job requisition id R-008413 The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled fraud investigations of FINRA...
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Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: SEO Friendly Job Title: Principal Investigator - Vulnerable Adults and Seniors Team (VAST) - FINRA's National Cause and Financial Crimes Program (NCFC) H1 Heading: Join FINRA's VAST Team as a Principal Investigator! H2 Heading: Investigate Financial Exploitation and Abuse of Seniors and Vulner...
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Corporate - Securities and Capital Markets Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/invest...
Litigation - Securities Litigation - Defense Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: About FINRA FINRA is a non-governmental organization that regulates the securities industry. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers. All individuals who are licensed to conduct securities transactions for FINR...
Corporate - Securities and Capital Markets Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Vice President & Associate General Counsel, Capital Markets Policy - $175,600 to $345,700 (Remove contact information, replace company name with organization, replace firm name with organization, replace department name with department) H1: Vice President & Associate General Counsel, Capital Market...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Organization: FINRA Department: Market Regulation and Transparency Services Job Title: Principal Analyst, Regulatory Services Management Experience: Minimum of 8 years Salary Range: $92,500 - $200,200 (varies by location) Job Type: Full Time H1: Principal Analyst, Regulatory Services Managem...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application acco...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst, Risk Monitoring Experience: - Minimum of 5 years of experience in risk monitoring, financial analysis, or related field. - Experience in the financial industry, with a strong understanding of regulatory develo...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: The Strategic Advisor in Market Regulation & Transparency Services (“MRTS”) is a crucial role within the organization, providing leadership and strategic support to the head of Strategic Regulatory Engagement (“SRE”). The role requires a minimum of ten years of experience in securities, comp...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Job Title: Principal Analyst, Risk Monitoring Organization: FINRA (Financial Industry Regulatory Authority) Experience: Senior-level Salary: Dependent on location and qualifications, ranging from $92,500 to $200,200 Location: Any FINRA location (CA, WA, DC, CO, HI, MN, VT, NY, WA, MD) H1: Joi...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. Associate Principal Analyst, Risk Monitoring - Any FINRA Locatio...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 13, 2024
SUMMARY: Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting) Jericho,...