Title: General Counsel Job Responsibilities: The General Counsel at the organization is responsible for ensuring compliance and developing risk mitigation strategies to support advocacy, campaigns, partnerships, and fundraising efforts. The role includes advising senior management and others within the organization on various...
Title: Senior Associate General Counsel Job Responsibilities: The Senior Associate General Counsel at the organization is tasked with overseeing the vertical within the General Counsel team that focuses on employment, labor, and benefits. Key responsibilities include: - Overseeing all compliance matters related to...
Title: Principal Analyst, Risk Monitoring 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. - Conduct risk monitoring activities, including...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead operations and execution for Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned with Member...
Intelligence Specialist Job Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a critical position within the department of StratIntel at the organization, which is committed to delivering proactive intelligence to enhance investor protection and market integrity. The primary responsibilities for this...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst plays a crucial role within the Office of Strategic Engagements (OSE) of the Member Supervision department. The primary responsibilities include: - Supporting the External Strategic Engagements leadership team...
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. - Identify existing and emerging risks and interact with internal and external parties to address these...
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 in interactions with internal and...
Title: Senior Counsel Job Responsibilities: Senior Counsels at the organization lead and engage in cutting-edge impact litigation, public policy advocacy, and education furthering the organization’s mission. The Senior Counsel will work independently and collaboratively to help serve the organization's Regional Office and...
Title: Senior Counsel Job Responsibilities: Senior Counsels at the organization are tasked with leading and engaging in impact litigation, public policy advocacy, and educational initiatives to further the organization's mission of achieving full recognition of civil rights for the LGBTQ+ community and...
Senior Counsel Department: Legal Office Location: The ideal candidate is located in Dallas, TX (SCRO) or Atlanta, GA (SRO), but candidates from New York, NY (Headquarters); Chicago, IL (Midwest); Los Angeles, CA (Western); or Washington, . are also considered. Work Type Designation: Hybrid Reports...
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. - Monitor complex...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting a multi-year strategic plan, managing priorities in alignment with Member Supervision goals, and integrating Examination efforts with Regulatory Operations. - Provide strategic leadership...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a pivotal role in the **Members Only** program within the organization's Member Supervision department. This position is integral to the Financial Intelligence Fusion Center (FIFC), tasked with aggregating, analyzing, and...
Title: Land Preservation Attorney Job Responsibilities: The Land Preservation Attorney is responsible for cultivating, negotiating, and conducting land transactions to preserve and expand conservation and preservation efforts in the Chicago metropolitan area. Key responsibilities include: - Managing a portfolio of 60...
Title: Staff Attorney - Consumer Job Responsibilities: - Provide extended representation, including advocacy and litigation, in areas handled by the Consumer Practice Group (CPG) in bankruptcy, state, and federal courts. - Interview eligible clients on a wide range of consumer issues and provide...
Title: Litigation Paralegal Job Responsibilities: The Litigation Paralegal is responsible for providing comprehensive administrative and litigation support throughout all phases of the litigation process. Key responsibilities include: - Formatting, proofreading, and fact-checking documents to be filed in court. - Generating tables of contents and...
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...