Finra jobs in Martinez, Contra Costa County, CA

A financial regulatory organization is seeking a Senior Director to lead the Market Oversight Surveillance and Intelligence section. This role requires a Bachelor's degree and at least ten years of experience in the securities or financial services sector. The candidate will ensure compliance with regulations, manage team operations, and contribute to business objectives. Candidates should...

The Senior Director is a key member of the Market Oversight Surveillance and Market Intelligence section’s leadership team and is responsible for the effective generation and progression of regulatory reviews conducted by the section. This role communicates and innovates with peers across the organization to facilitate sharing of surveillance intelligence to improve our ability to meet FINRA’s...

A financial regulatory authority in San Francisco is looking for an Honors Associate to contribute to Enforcement investigations. This entry-level position offers hands-on legal experience and involves conducting research, assisting in litigation, and collaborating with senior attorneys. Candidates must have a J.D. or L.L.M. degree, excellent communication skills, and a team-oriented attitude....

FINRA Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations of and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands‑on legal experience that develops their lawyering skills in investigating, litigating and writing. They also gain specialized...