Finra Jobs in Lake Clarke Shores

19 jobs

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Attorney in Palm Beach, FL

In-House • **Members Only** Palm Beach, FL

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Posted On Sep 21, 26

Full-time 20 views Experience : Min 8 yrs required

Job Tags:

banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Advisor III - Palm Beach / Boca Raton This job is available in 2 locations Category Wealth, Brokerage and Premier Banking Posted Date 08/28/2024 Brand img The position is described below. If you want to apply, click the Apply...

Administrative Law Attorney / Government Contracts Attorney / Government - General Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Aug 25, 26

Full-time 1 views Experience : Min 10 yrs required

Practice Area:

Administrative Law Government Contracts Government - General

Job Tags:

Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials

Title: Director, Enforcement Job Responsibilities: The Enforcement Director is responsible for managing a team of 5-8 Enforcement attorneys and overseeing the development and resolution of enforcement cases from inception to completion. The Director ensures that case outcomes are supported by accurate and...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Aug 20, 26

Full-time 2 views Experience : 2-10 yrs required

Job Tags:

Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Exam and Regulatory Conduct Job Responsibilities: The Director of the Crypto Exam and Regulatory Conduct team is tasked with leading a proficient team of investigators addressing crypto-related investor protection risks, market conduct rules, and regulatory obligations. The...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Aug 20, 26

Full-time 2 views Experience : 2-10 yrs required

Job Tags:

abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: The Director of the Crypto Fraud & Market Abuse team is tasked with leading a specialized team of investigators focusing on detecting, investigating, and mitigating crypto-related fraud and market abuse within...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Aug 31, 26

Full-time 2 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse

Title: Director, Emerging Technology Intelligence Job Responsibilities: - Serve as a senior partner to internal and external stakeholders, leading efforts to identify emerging threats and drive intelligence-driven initiatives. - Lead a team of intelligence analysts in identifying, analyzing, and predicting emerging risks, threats,...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Sep 01, 26

Full-time 2 views

Job Tags:

Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark

Director. The role involves conducting risk monitoring activities and ongoing risk assessments of FINRA members. Key responsibilities include: -... Supporting the Risk Monitoring Director in identifying existing and emerging risks, and interacting with internal and external parties. - Conducting risk monitoring ac...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Sep 22, 26

Full-time 1 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Director, Market Strategy & Research Job Responsibilities: The Director, Market Strategy & Research at the organization is responsible for leadership in proactive regulatory risk assessment and the development of regulatory strategy. Essential job functions include: - Conducting continuous qualitative research into market...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Sep 29, 26

Full-time 1 views

Job Tags:

Affirmative Action child Code of Conduct domestic partner family finance FINRA Insurance invention Securities special projects spouse

Title: Director, Risk Monitoring Job Responsibilities: - Supervise Risk Monitoring Analysts in conducting risk monitoring activities, ensuring timely, precise, and quality risk assessments and reports. - Oversee development of risk-based regulatory responses and evaluate the adequacy of firm corrective actions to aid Examination...

Attorney in Boca Raton, FL

In-House • **Members Only** Boca Raton, FL

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Posted On Sep 21, 26

Full-time 29 views Experience : Min 8 yrs required

Job Tags:

banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

- Job Title: Wealth Advisor III - Palm Beach / Boca Raton - Available in 2 locations - Category: Wealth, Brokerage and Premier Banking - Posted Date: 08/28/2024 - Language Fluency: English (Required) - Work Shift: 1st shift (United...

Attorney in Boca Raton, FL

In-House • **Members Only** Boca Raton, FL

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Posted On Sep 21, 26

Full-time 31 views Experience : Min 8 yrs required

Job Tags:

banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Advisor III - Palm Beach / Boca Raton This job is available in 2 locations Category Wealth, Brokerage and Premier Banking Posted Date 08/28/2024 Brand img The position is described below. If you want to apply, click the Apply...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Jun 21, 26

Full-time 11 views

Job Tags:

Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse

Title: Principal Analyst, Risk Monitoring Job Responsibilities: As a Principal Risk Monitoring Analyst, you will play a crucial role in protecting the integrity of . securities markets. Reporting directly to a Risk Monitoring Director, you will: - Lead sophisticated risk assessments of member...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Jul 26, 26

Full-time 1 views Experience : 5-10 yrs required

Job Tags:

Affirmative Action blockchain child Code of Conduct Cybersecurity domestic partner family FINRA fraud Insurance invention Money Laundering Securities spouse

Title: Senior Principal Investigator, Crypto Asset Investigations - Blockchain Technology Job Responsibilities: - Independently lead investigations related to tokenized securities and other crypto asset activities of organization member firms and associated persons. - Document investigative strategies, findings, and results in a timely manner;...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Jul 26, 26

Full-time 1 views Experience : Min 12 yrs required

Job Tags:

Affirmative Action agreements child Code of Conduct domestic partner family FINRA Insurance invention Securities securities laws spouse

Title: Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job Responsibilities: Regulatory Intelligence & Strategic Advisory - Monitor, analyze, and interpret complex regulatory developments related to market structure and market regulation from exchanges, organization, the SEC, and other regulatory bodies. - Provide expert...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Jul 26, 26

Full-time 2 views

Job Tags:

Affirmative Action blockchain child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Senior Principal Investigator, Crypto Asset Investigations - Tokenized Securities Markets Job Responsibilities: The Senior Principal Investigator in Crypto Asset Investigations is responsible for conducting high-complexity investigations into the crypto asset activities of organization member firms and their associated persons. This role...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Aug 12, 26

Full-time 2 views Experience : 3-5 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Lead risk monitoring activities for complex and elevated-risk member firms, exercising independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Sep 08, 26

Full-time 2 views Experience : Min 6 yrs required

Job Tags:

Affirmative Action Alternative Dispute Resolution child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Principal Analyst, Dispute Resolution Services Training Job Responsibilities: The Principal Analyst is entrusted with the responsibility of developing, maintaining, and updating training modules tailored for key job categories within the Dispute Resolution Services (DRS) sector. The role involves training new regional...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Sep 15, 26

Full-time 2 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Title: Vice President, Strategic and Threat Intelligence Job Responsibilities: - Strategic Planning, Leadership, and Stakeholder Engagement: - Serve as a key member of senior management and strategic advisor to business stakeholders. - Partner across departments to provide critical leadership and strategic...

Attorney in Boca Raton, FL

Public Interest • **Members Only** Boca Raton, FL

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Posted On Sep 15, 26

Full-time 2 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Title: Vice President, Trading and Product Risk Intelligence Job Responsibilities: Strategic Planning, Leadership, and Stakeholder Engagement - Serve as a key member of senior management and strategic advisor to business stakeholders, providing leadership on regulatory oversight, emerging risks, and intelligence-driven initiatives. - Drive strategic...

Attorney in Jupiter, FL

In-House • **Members Only** Jupiter, FL

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Posted On Sep 21, 26

Full-time 27 views Experience : Min 8 yrs required

Job Tags:

banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Advisor III - Palm Beach / Boca Raton This job is available in 2 locations Category Wealth, Brokerage and Premier Banking Posted Date 08/28/2024 Brand img The position is described below. If you want to apply, click the Apply...

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