Job Title: Youth Practice Group Staff Attorney Job Responsibilities: A Youth Practice Group Staff Attorney focuses on providing pro bono legal assistance to youth with disabilities aged 3-21, particularly those affected by the justice system, through the Youth Justice Project. This initiative aims to disrupt the school-to-prison pipeline by offering civil legal advocacy to justice-impacted youth with disabilities. The Staff Attorney will engage in direct legal representation
Job Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key figure within the StratIntel division of the organization’s Member Supervision department. The role is centered on delivering proactive intelligence to enhance investor protection and market integrity. The responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated fram...
Job Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities that may include complex or elevated risk firms with guidance and minimal supervision from a Risk Monitoring Director
Job Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: - Support the External Strategic Engagements leadership team in all aspects of the group’s responsibilities. - Represent the team where appropriate and lead the development of high visibility and high impact publications, speaker preparation materials, and other messaging and information-sharing with external audiences, including member firms. - Build relationships and work closely ...
Job Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support a Risk Monitoring Director by identifying existing and emerging risks, and facilitating interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with guidance from a Risk Monitoring Director or designee.
Job Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engage in interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with guidance and minimal supervision from a Risk Monitoring Director
Job Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and manage interactions with both internal and external parties. - Carry out risk monitoring tasks, which may involve complex or elevated risk firms, under the guidance
Job Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the Member Supervision department of the organization. The role includes leading sophisticated analytical projects that identify emerging market risks with minimal oversight. The specialist is tasked with developing frameworks to assess high-impact threats and providing expert insights on strategic targets that influence inv
Job Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping and set a multi-year strategic plan aligning with Member Supervision goals and vision. - Manage priorities, collaborate with cross-functional partners, and integrate examination efforts with Regulatory Operations. - Ensure connectivity and partnership with Member Supervision’s centralized and support functions and other Member Supervisi...
Job Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers. - Set multi-year strategic plans and manage priorities to align with Member Supervision goals and vision. - Collaborate closely with cross-functional partners outside Member Supervision, integrate Examination efforts with
Job Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist operates as an advanced expert within the Strategic Intelligence & Analytics (StratIntel) department of the organization’s Member Supervision department. This role involves utilizing a comprehensive skillset and expertise pertinent to the StratIntel mission, which includes the collection, analysis, processing, and dissemination of strategic and tactical in...
Job Title: Associate, HONORS Program Job Responsibilities: The Associate in the Honors Program at the organization plays a crucial role in contributing to Enforcement’s investigations and determining whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates engage in meaningful and substantive hands-on legal experience to develop their lawyering skills in investigating, litigating, and writing. They also gain specializ...
Program: **Members Only** Job Title: Bi-Lingual Paralegal – Social Security Disability Job Responsibilities: The role of a Bi-Lingual Paralegal in the Social Security Disability department involves working closely with attorneys and project staff to assist low-income New Jerseyans with their SSI/SSDI claims. Key responsibilities include: - Conducting client intake and screening relevant information for disability claims. - Preparing and filing necessary forms, appeals, and supportin...