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1,912 finra jobs

Corporate Counsel

LOYAL3 19 Reviews San Francisco, CA

Counsel will advise on a broad range of general corporate and securities law matters, including compliance with SEC and FINRA regulations, research… LOYAL3

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Compliance Marketing Review Officer

Morgan Stanley 100+ Reviews New York, NY

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity… Morgan Stanley

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Regulatory Analyst, Office of Fraud Detection and Market Intelligence - Insider Trading – new

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Through the review/investigative process the Analyst resolves situations that may impact the integrity of Nasdaq, NYSE or other markets. Develops a… Ivy Exec

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Regulatory Analyst - Market Regulation, Fixed Income Investigations

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Through the review / investigative process the Analyst resolves situations that may impact the integrity of the Fixed Income markets. Develops a… Ivy Exec

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Senior Regulatory Training Specialist, Business Solutions – new

FINRA 100+ Reviews Rockville, MD

The Senior Regulatory Training Specialist is a senior-level technical position, responsible for designing, developing, and delivering learning… FINRA

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Enforcement Counsel – new

FINRA 100+ Reviews Rockville, MD

The Counsel performs a variety of specific duties depending on the section to which assigned, generally including applying advanced analytical skills… FINRA

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Graduate/Undergraduate Intern - Advertising Regulation

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Assist in reviewing and analyzing communications with the public for compliance with applicable advertising rules. Achieve an understanding and… Ivy Exec

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Undergraduate/Grad Intern - Market Regulation, Quality of Markets

Financial Industry Regulatory Authority (FINRA) Rockville, MD

In training to review, analyze and investigate unusual market activity for evidence of violations of relevant rules and regulations enforced. This is… Ivy Exec

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Graduate/Undergraduate Intern - Internal Audit

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Conduct business area (BA) audits to provide senior management with an independent assessment of whether: · The structure of internal controls… Ivy Exec

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Curriculum Program Manager, Risk

Financial Industry Regulatory Authority (FINRA) Rockville, MD

The Curriculum Program Manager manages transformations and operational enhancements to assigned program areas across Shared Services’ customer base… Ivy Exec

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Deputy Director, Office of Fraud Detection, and Market Intelligence

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Achieve measurable results. Provide substantive input into the development of department approaches to regulatory issues… Ivy Exec

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Graduate Legal Intern

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Assist attorneys in the department with legal and policy issues regarding the licensing, registration and regulation of broker-dealer firms and their… Ivy Exec

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Training Manager, eLearning

Financial Industry Regulatory Authority (FINRA) Rockville, MD

, as well as supervising Regulatory Training Specialists and support staff of varying levels. The incumbent is expected to have advanced technical… Ivy Exec

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Graduate Intern - Market Regulation, Legal

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Assist in participating in on-the-record interviews of witnesses and potential respondents… Ivy Exec

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Graduate Intern - Testing and Continuing Education

Financial Industry Regulatory Authority (FINRA) Rockville, MD

While in the department, the intern will also participate in some of FINRAs standard psychometric processes and may be called upon to investigate ad… Ivy Exec

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Graduate/Undergraduate Intern, Human Resources

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Work with various members of the Human Resources team to lead or support research and analysis on a number of HR initiatives. Essential Job… Ivy Exec

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Manager,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Represent FINRA in internal and external meetings, conferences and other events to discuss and provide technical advisement on accounting related… Ivy Exec

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Advertising Compliance Analyst – new

First Investors 100+ Reviews New York, NY

• SEC and FINRA compliance review of marketing/public/retail materials and communications with the public including but not limited to, advertising… First Investors

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Fixed Income Compliance AVP

LPL Financial Charlotte, NC

• Collaborate with other internal areas including: Legal, Middle-Office, Sales Management, Operations, Technology, Control Units, In-Business Risk… LPL Financial

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