Title: Associate, HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in the investigations and decisions regarding whether to bring disciplinary actions against individuals and firms in the financial industry. This entry-level position provides substantive hands-on...
The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.
Associate General Counsel & Director of Legal Affairs Duties:... Reporting to the Executive Vice President/Chief Legal Officer (CLO), responsible for implementing, supporting and managing organization wide contractual agreements and related programs, providing general transactional and regulatory advice, resolving disputes with third parties and assisting with legal program planning. Working closely with CLO, Compliance Officer as well as leadership and management, monitors com... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Associate Director, Market Regulation, TFCE Options... Duties: Coordinate annual schedules of examinations with other members of TMMS management and fairly allocate these examinations with other TMMS Supervisors. For allocated examinations, plan and coordinate schedules to ensure all examinations are conducted as required. Manage the overall work process of TMMS examiner teams. Assign examinations and other tasks to examiners in order to achieve departmental objectives and appr... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Assistant Director, Market Regulation, TFCE Options... Duties: Coordinate annual schedules of examinations with other members of TMMS management and fairly allocate these examinations with other TMMS Supervisors. For allocated examinations, plan and coordinate schedules to ensure all examinations are conducted as required. Manage the overall work process of TMMS examiner teams. Assign examinations and other tasks to examiners in order to achieve departmental objectives and appr... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Vice President of Market Regulation Enforcement The candidate supervises the specialized attorneys and managers who are dedicated to counseling Market Regulation staff and resolving disciplinary matters arising from surveillance and examinations by the Department of Market Regulation. Provides senior level guidance on the appropriate resolution of Market Regulation matters, and facilitates an ongoing dialogue about decision-making to achieve timely and foreseeable Enf... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Vice President of Market Regulation Enforcement The candidate supervises the specialized attorneys and managers who are dedicated to counseling Market Regulation staff and resolving disciplinary matters arising from surveillance and examinations by the Department of Market Regulation. Provides senior level guidance on the appropriate resolution of Market Regulation matters, and facilitates an ongoing dialogue about decision-making to achieve timely and foreseeable Enf... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Legal Liaison The candidate will report to the Executive Director and Clinical Director and... will lead the Agency in starting new Legal Program. The primary responsibilities will include managing the program, cultivating volunteer attorneys, creating marketing materials and community outreach.... Licensed attorney experienced with both domestic... violence legal matters and domestic relations, including orders of protection, divorce, custody, child support, guardian ad litem wil... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Director & Senior Advisor, Enforcement... Duties: Responsible for monitoring key aspects of Enforcement cases involving SRO customers and provides periodic reporting to the SVP, Market Regulation Enforcement and Head of Enforcement. Develops strong relationships and interfaces with SRO customers on projects and other regulatory matters on behalf of Enforcement. Responsible for coordinating Enforcement’s work with Market Regulation in new SRO-related program areas. Responsible f... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Mid-level Associate Principal Analyst, Risk Monitoring - Capital Markets and Investment Banking The candidate will be conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Supports both that direct... manager in identifying existing and emerging risks. Conducts risk monitoring for member firms that can include complex or elevated risk firms with guidance and moderate supervision of a Risk Monitoring Director... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Counsel, Market Regulation Enforcement The candidate will be responsible for managing Enforcement outcomes and implementing priorities for the Enforcement department, ensuring maximum productivity and effectiveness with a large and complex caseload. Manages a team of attorneys and directors, who may be located in different offices, with a widely diverse docket of cases covering a number of subject matter areas. Provide guidance to attorneys and directors regarding prop... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Principal Analyst, Risk Monitoring - Capital Markets The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Will conducts risk monitoring... activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. Collaborates with... internal departments to analyze, communicate and make recommendations with... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here