Company Profile

Associate General Counsel, Capital MarketsThis 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 unique subject ...

Are you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass? As a not-for-profit entity, FINRA operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Because of this structure, FINRA is uniquely positioned to stimulate vibrant markets that protect investors, ensure robust trading activity, foster liquidity, and support innovation and growth. FINRA is hiring a Senior Paralegal ...

Senior Litigation Counsel, Securities Enforcement Adjudication ( Office of Hearing Officers)The Assistant Special Counsel in the Office of Hearing Officers performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal support to FINRA Hearing Officers in connection with the adjudication of disciplinary proceedings on a wide range of cases brought by FINRA s Department of Enforcement against FINRA-registered firms and persons associated with ...