Title: Associate, HONORS Program-1 Job Responsibilities: The Associate in the HONORS Program is tasked with making significant contributions to the organization's Enforcement investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level role allows the Associate...
The following jobs are no longer active but were real openings previously posted by employers.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.
Principal Counsel - Enforcement The candidate will work under minimal supervision to independently resolve non-complex Enforcement matters, and to contribute substantive high quality work for large complex matters. Will resolve all type. Enforcement matters base. objective and complete assessment. the facts and law, including independently resolving non-complex matters. Determine and execute an effective risk-based legal strategy to complete and assess the record fairly.... 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Note: This job is no longer active.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 - Sales Practice Enforcement The candidate works under minimal supervision to independently resolve all types of Enforcement matters. Independently resolve all types of Enforcement matters based on rigorous assessment and effective advocacy: Determine and execute an effective risk-based strategy to complete and assess the record fairly. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the... 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Note: This job is no longer active.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
Litigation Counsel - Enforcement The candidate will work under minimal supervision to litigate nationwide disciplinary proceedings filed before the Office of Hearing Officers and, if necessary, brief and argue appeals to the National Adjudicatory Council. Will represent organization in a first- or second-chair capacity in complex litigations involving violations of the federal securities laws, organization and NASD Rules, Municipal Securities Rulemaking Board (MSRB) r... 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 - Enforcement The candidate works under minimal supervision to independently resolve non-complex Enforcement matters, and to contribute substantive high quality work for large complex matters. Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters. Determine and execute an effective risk-based legal strategy to complete and assess the record fairly; Reco... 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
Litigation Counsel (Non-Disciplinary Unit) - Enforcement The candidate will work under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and brief and argue appeals before the National Adjudicatory Council (NAC). Will represent the organization in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, organization's... 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
Litigation Counsel, Enforcement The candidate will work under the 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). Represent the organization in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, organizational and NASD Rules, Municip... 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 Litigation Counsel (Disciplinary), Enforcement FINRA is seeking a Senior Litigation Counsel (Disciplinary), Enforcement to join their team. This position 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). **Essential Job Functions:** - Represent FINRA in a first or... 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
Litigation Counsel, Enforcement Are you looking for an opportunity to represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules? If so, FINRA is looking for a Senior Litigation Counsel to join our Enforcement team. This role is essential in representing 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 Litigation Counsel, Enforcement - Any FINRA Location The Senior Litigation Counsel is responsible for litigating nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and briefing and arguing appeals before the National Adjudicatory Council (NAC). This position is available in multiple locations across the United States. ### Essential Job Functions * Represent FINRA in a first or second chair... 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 The candidate will resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters. Will determine and execute an effective risk-based legal strategy to complete and assess the record fairly. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Identify potential ris... 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