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Financial Industry Regulatory Authority, Inc. Jobs

Financial Industry Regulatory Authority, Inc.

Professional Associations | WASHINGTON, DC | 3400 followers

Financial Industry Regulatory Authority, Inc. Overview

WEBSITE finra.org
HEADQUARTERS WASHINGTON, DC
SIZE 3,000 - 7,500
FOUNDED 2007
CEO RICHARD G KETCHUM
TYPE NGO/NPO/NFP/Organization/Association
REVENUE $1B - $3B
INDUSTRY Professional Associations
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About Financial Industry Regulatory Authority, Inc.

FINRA is a District of Columbia-based nonprofit organization that provides services including registration, dispute resolution, and regulatory for brokerage companies.

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Senior Special Counsel, Hearing Officer at Financial Industry Regulatory Authority, Inc.

Washington, DC | Full Time
$125k-163k (estimate)
4 Months Ago
Hearing Officers preside over formal disciplinary proceedings on a wide range of cases brought by FINRA’s Department of Enforcement against FINRA-registered firms and persons associated with FINRA-registered firms. Hearing Officers also preside over disciplinary proceedings initiated by the New York Stock Exchange and other self-regulatory organizations against their members and associated persons. Hearing Officers also adjudicate temporary cease...

Associate General Counsel, Capital Markets at Financial Industry Regulatory Authority, Inc.

Washington, DC | Full Time
$143k-186k (estimate)
11 Months Ago
This position is responsible for directing and managing the complete life cycle of the adoption of new regulatory requirements. The incumbent provides expert knowledge to the Board of Governors and senior management, advising them on high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes. This position is recognized by FINRA and the industry as the top/ primary expert in a particularly complex and uniqu...
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