Title: Associate, HONORS Program Job Responsibilities: **Members Only** Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations 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...
Title: PCAOB Fellow Opportunities Job Responsibilities: - Engage in hands-on experience by immersing in the day-to-day operations of various divisions and offices within the organization. - Contribute meaningfully to projects and initiatives that impact the organization and support its investor protection mission. - Work...
The following jobs are no longer active but were real openings previously posted by employers.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.
Senior Litigation Counsel, Enforcement at FINRA FINRA is currently looking for a Senior Litigation Counsel to join their Enforcement team. The Senior Litigation Counsel will work 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). Responsibilities include representing FINRA in a first or second chair ca... 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Note: This job is no longer active.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 and Regional Director, Member Regulation, Sales Practice Duties: Will lead, manage and direct the overall operations of the South Region's District Offices, including its core regulatory programs pursuant to company's guidelines and requirements, including leading and participating in national strategic and tactical initiatives. As a senior-level manager and company's officer, represent company and Member Regulation before various constituents internall... 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 & Regional Director - Member Regulation, Sales Practice Duties: Lead, manage and direct the overall operations of the Region's District Offices, including its core regulatory programs pursuant to guidelines and requirements including leading and participating in national strategic and tactical initiatives. As a senior-level manager and officer, represent Member Regulation before various constituents internally and externally. Serve as a key member of... 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
Senior Attorney / Counsel - Sales... Practice Enforcement The candidate performs a variety of specific duties generally including applying analytical skills to participating in providing legal interpretations regarding laws, rules, and regulations; in drafting legal documents; and in hearings and settlements. Plans for and participates in various tasks related to investigations pertaining to sales practice and trading violations by member firms and associated persons including... 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 and Chief of Staff, Member Supervision The candidate: Leads a variety of cross-functional initiatives, in the advancement of the strategic direction of Member Supervision in support of firm’s organizational goals. This includes building and/or identifying teams to work through the completion of large, high profile projects, in addition to owning the scope, identifying measures of success, and managing the team(s) through successful completion of the i... 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
Corporate Counsel The candidate will provide comprehensive, hands-on legal counsel to the Company and its management. Provide advice on matters relating to firm's and its subsidiaries as assigned by the General Counsel including, drafting and reviewing commercial agreements, corporate governance, marketing and privacy compliance, assisting with litigation management/resolution, M&A, employment matters, and engaging/directing external legal counsel. Serve as a value... 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 - National Cause Program The candidate will be a key member of Member Supervision's National Cause & Financial Crimes Detection Programs leadership team and provide critical leadership in overseeing the intake, risk assessment, and investigation of cause matters involving potential fraud or other serious misconduct from various sources including regulatory filings, investor complaints, tips, referrals, and other regulatory sources. Will also be responsi... 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, National Cause and Financial Crimes Detection Programs The candidate will be a key member of the Member Supervision leadership team and provide critical leadership in overseeing several programs designed to identify and investigate potential financial crimes and violative activity, including fraud and insider trading. Will create and maintain a collaborative working environment and improve the flow of information to more effectively address risks ac... 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
Examination Standards and Policy The candidate will oversee the development and implementation of policies, procedures and technology necessary to address Firm Examinations for all Firm Groupings. Will lead efforts to develop, maintain and continually enhance Compass, EW Guidance and associated job aids/exhibits relating to the Firm Exam program. Periodically assess practices and determine if a need exists for a policy or procedure to be developed or updated. Perio... 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 to the EVP of National Cause and Financial Crimes Detection Programs The candidate will lead and implement the strategic direction of the Cause Investigations program for a particular firm grouping or groupings, and collaboratively across firm groupings. Will develop and implement strategic plans and initiatives for their firm group. Collaborate and regularly coordinate with Examinations, HRRU, and Risk Monitoring counterparts to share intelligence and trends... 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