Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the StratIntel mission within the organization’s Member Supervision department. The responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated frameworks...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) is tasked with supporting the External Strategic Engagements leadership team in all facets of the group's responsibilities. This includes representing the...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy serves as the Chief Privacy Officer (CPO) of the organization, leading the Enterprise Data Privacy Office and overseeing the privacy function of the organization. The...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting both direct manager and interactions with internal and...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the StratIntel mission within the organization's Member Supervision department. The key responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support for the complete life cycle of new regulatory initiatives, serving as a subject matter resource in specific areas of legal expertise. - Advise the Board of Governors and advisory...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. - Advise the Board of Governors and advisory committees on complex and sensitive regulatory initiatives and rule changes. - Brief and communicate complex...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support concerning the full life cycle of new regulatory initiatives. - Serve as a subject matter resource in specific areas of legal expertise. - Advise the Board of Governors and advisory...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is a key professional role within the Strategic Intelligence & Analytics (StratIntel) organization, which is part of the organization's Member Supervision department. This position focuses on the collection, analysis, processing,...
Title: Senior Program Administrator, OGC Regulation Job Responsibilities: The Senior Program Administrator at the organization serves as a pivotal support role within the Office of General Counsel (OGC), specifically aiding the Regulatory Policy, Capital Markets, and Appellate offices. This position is essential...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the HONORS Program at the organization plays a crucial role in contributing to the Enforcement's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level position involves...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - The Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - This senior-level position supports the Risk Monitoring Director in...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagement (OSE) within the department of Member Supervision is tasked with supporting the leadership team in various high-visibility external engagements and publications. The...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting interactions with internal and external parties. - Perform risk monitoring...
Title: Counsel, Discovery & Litigation Job Responsibilities: - Handle the docket of information requests received by the organization, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. - Exercise legal judgment under limited supervision to respond to information...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy, also known as the Chief Privacy Officer (CPO), leads the organization's Enterprise Data Privacy Office. The primary responsibilities include: - Designing, implementing, and...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Perform risk...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the organization's Member Supervision department. The primary responsibilities include leading complex analytical projects to identify emerging market risks with minimal supervision, developing sophisticated frameworks...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support concerning the life cycle of new regulatory initiatives. - Advise the Board of Governors and organization advisory committees on complex regulatory initiatives and rule changes. - Brief and communicate complex...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. - Serve as a subject matter expert in one or more areas of legal expertise. - Advise the Board of Governors and advisory...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the life cycle of new regulatory initiatives. - Serve as a subject matter resource in specific areas of legal expertise. - Advise the Board of Governors and advisory committees...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is responsible for executing functions in support of the Strategic Intelligence & Analytics (StratIntel) mission within the organization’s Member Supervision department. This includes: - Partnering across the organization and externally on...
Title: Paralegal, Litigation Job Responsibilities: The Paralegal in the Litigation group within the department of the Chief Legal Officer is tasked with assisting in the response to information requests received by the organization, its officers, and its employees. This includes handling third-party...
Title: Senior Legal Counsel Job Responsibilities: - Provide comprehensive legal guidance across a broad spectrum of issues impacting the organization. - Act as a strategic partner to internal teams, assisting in defining the role of legal within business operations. - Evaluate legal risks and...
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, comprising over 120 examiners and managers. This includes setting a multi-year strategic plan, managing...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engaging with both internal...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy, serving as the Chief Privacy Officer (CPO), leads the organization's Enterprise Data Privacy Office and oversees its privacy function. The CPO is tasked with designing,...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk...
Title: Law Clerk for Summer 2026 Job Responsibilities: Law clerks at the organization will engage in a comprehensive and immersive experience focused on housing justice for marginalized communities. The responsibilities include: - Conducting research and writing on issues impacting low-income and marginalized populations. -...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the entire lifecycle of adopting new regulatory initiatives. - Serve as a subject matter expert in one or more areas of legal expertise, providing guidance under general supervision. -...
Title: Associate General Counsel, Capital Markets Job Responsibilities: 1. **Regulatory Guidance and Advisory**: - Direct and manage the full lifecycle of adopting new regulatory requirements. - Advise the Board of Governors and senior management on complex and sensitive regulatory initiatives and rule...
Title: Assistant General Counsel, Regulatory Job Responsibilities: The Assistant General Counsel, Regulatory, is responsible for providing senior-level legal advice and support throughout the lifecycle of new regulatory initiatives and serving as a subject matter expert in one or more areas of legal...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a crucial role in supporting the mission of the Strategic Intelligence & Analytics (StratIntel) organization within the department. The position involves the following key responsibilities: - Partner with internal and...
Title: Senior Program Administrator, OGC Regulation Job Responsibilities: - Provide high-level administrative support to ensure smooth day-to-day operations within the Office of General Counsel (OGC) Regulation offices. - Evaluate and refine organizational systems to enhance operational efficiency and effectiveness. - Plan and coordinate programs,...
Title: Paralegal, Litigation Job Responsibilities: The Paralegal in the Litigation group within the department of the Chief Legal Officer is tasked with assisting in responding to information requests received by the organization, its officers, and its employees. This includes handling third-party subpoenas...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in contributing to the investigations and decisions regarding disciplinary actions against individuals and organizations in the financial industry. This entry-level position provides associates with substantive...