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Financial Industry Regulatory Authority

This company is an alias of Financial Industry Regulatory Authority, Inc.
Corporation

Headquarters:

Washington, D.C.
In the United States, the Financial Industry Regulatory Authority, Inc. is a private corporation that acts as a self-regulatory organization. FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange.

Similar companies:

Thrivent FinancialTIAA

Key People:

Robert W. Cook

Employees number:

3,600

Subsidiaries:

NASD Regulation
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4,071 Jobs
Counsel
Financial Industry Regulatory AuthorityBoca Raton, FL
Associated topics: associate director, chief investment officer, controller, finance director, financial director, manage, operation, organizational culture, president, vice presidentExpired 47 minutes ago
Senior Investigator, Insider Trading - Any FINRA Location
Financial Industry Regulatory AuthorityBoca Raton, FL
Associated topics: analyse, analyst, analyze, business analyst, business systems analyst, examiner, financial reporting analyst, guidance, investment fund, market
Full-time
Last updated 49 minutes ago
Big Data Architect (Spark)
Financial Industry Regulatory AuthorityBoca Raton, FL
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Associated topics: data administrator, data analytic, data integration, data manager, data management, etl, erp, sql, sybase, teradataLast updated 49 minutes ago
Counsel, Enforcement
Financial Industry Regulatory AuthoritySan Francisco, CA
Associated topics: alarm, loss control, monitor, patrol officer, protection, public safety, public safety officer, secure, security, security officerLast updated 49 minutes ago
Senior Litigation Counsel (Non-Disciplinary Unit) - Enforcement
Financial Industry Regulatory AuthoritySan Francisco, CA
The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC).Last updated 50 minutes ago
Associate Principal Investigator, Enforcement
Financial Industry Regulatory AuthorityBoca Raton, FL
Associated topics: crime scene, detective, fingerprint, inspector, investigate, investigation, investigative, investigatorLast updated 50 minutes ago
Principal Examiner - Diversified, Carrying and Clearing - Any FINRA Location
Financial Industry Regulatory AuthorityBoca Raton, FL
Associated topics: actuarial, actuarial assistant, actuarial director, actuary consultant, analyst, assistant actuary, associate actuary, investment actuary, model, probabilityLast updated 51 minutes ago
Senior Application Security Engineer
Financial Industry Regulatory AuthorityReston, VA
Familiarity with commonly used authentication & authorization systems such as Siteminder, Okta, ForgeRock.Last updated 51 minutes ago
FINRA Legal Extern, Enforcement (UNPAID)
Financial Industry Regulatory AuthorityBoca Raton, FL
Graduate student pursuing JD or LLM
Full-time
Last updated 51 minutes ago
Associate Principal Analyst, Retail - Risk Monitoring - Any FINRA Location
Financial Industry Regulatory AuthorityBoca Raton, FL
FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.Last updated 52 minutes ago
Associate Principal Analyst, Retail - Risk Monitoring - Any FINRA Location
Financial Industry Regulatory AuthorityLos Angeles, CA
FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.Last updated 54 minutes ago
Vice President, Ombudsman
Financial Industry Regulatory AuthorityRockville, MD
Associated topics: audit, corporate banking, finance, finance director, financial, financial services, fiscal, investment banking, kpmg, risk
Full-time
Last updated 59 minutes ago
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