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Apr 23 Litigation Paralegal, Enforcement Financial Industry Regulatory Authority (finra) New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Litigation Paralegal opening in New York, NY. To be considered for this position,... more

Apr 23 Enforcement Investigator Financial Industry Regulatory Authority (finra) New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking well-qualified individuals ... and other witnesses. Provide support in FINRA disciplinary proceedings, including the... more

Apr 23 Regional Counsel, Enforcement Financial Industry Regulatory Authority (finra) New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regional Counsel opening in New York, NY. To be considered for this position,... more

Apr 22 Business Analyst III - Market Regulation Finra New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual ... queries to evaluate compliance with FINRA and Market Regulation policies and... more

Apr 22 Regional Counsel, Enforcement Finra New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual ... your resume through our career site at www.finra.org/careers – no phone calls, please. more

Apr 18 Litigation Paralegal, Enforcement Finra New York City, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual ... your resume through our career site at www.finra.org/careers – no phone calls, please. more

Apr 09 Analyst - Valuation & Financial Opinions Stout Risius Ross New York, NY

ngeles, New York, Tysons Corner, and Washington, D.C. SRR is a trade name for Stout Risius Ross, Inc. and Stout Risius Ross Advisors, LLC, a FINRA registered broker-dealer and... more

Mar 21 Bank Regulation Advisor Officer Michael Page Kearny, NJ

k alongside CCO on ad-hoc project basis The ideal candidate will have:? Deep understanding of OCC rules and regulations? Comfortable with FINRA and SEC rules? Experienced with... more

Mar 13 US only-Branch Auditors FINRA-SEC Temporary Contract New York City, NY

to hire auditors with experience with SEC or FINRA compliance audits. US ONLY. You will be assigned local branch offices to audit, so travel will be limited. Typical engagement... more

Mar 06 Mutual Fund Paralegal Complistaff New York, NY

candidate will - Draft filings for SEC, FINRA, etc Prepare for and work directly with the Board of Directors Draft meeting memorandum Review and edit documents for various filings... more

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