FINRA
The Enforcement Counsel role resolves non-complex enforcement matters and contributes to large, complex cases through rigorous legal assessment and effective advocacy. The position involves developing risk-based legal strategies, negotiating settlements, and preparing cases for litigation while ensuring compliance with regulatory priorities. This role requires collaboration with investigative staff and other departments to maintain market integrity and protect investors.
Headquarters
Washington, District Of Columbia, United States
Company Size
1001-5000 employees
Founded
2007
FINRA, the Financial Industry Regulatory Authority, is a nonprofit self-regulatory organization that oversees U.S. broker-dealers and securities markets. It works to protect investors and maintain market integrity through regulation, enforcement, licensing, arbitration and mediation services, and market surveillance. FINRA operates in the financial services and securities regulation industry.
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
View leadership team, funding history,
and employee contacts for FINRA.
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