Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level professional role within the **Members Only** program of the organization. This position is integral to supporting the mission of investor protection and market integrity by engaging in...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Strategic leadership for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Develop and manage a multi-year strategic plan aligning with...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert level position within the Strategic Intelligence & Analytics (StratIntel) organization, part of the Member Supervision department. The role involves the collection, analysis, processing, and dissemination of...
The following jobs are no longer active but were real openings previously posted by employers.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 Advisor and Counsel, Market Regulation - Market Manipulations The candidate will assist the Senior Vice President, Market Manipulations (SVP) in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert interpretative guidance on regulatory matters for the Department, work in partnership with the Enforcement Department on complex/high-profile investigations, and represent the SVP and th... 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Note: This job is no longer active.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
Principal Advisor and Counsel, Market Regulation - Market Manipulations The candidate will assist the Senior Vice President, Market Manipulations (SVP) in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert interpretative guidance on regulatory matters for the Department, work in partnership with the Enforcement Department on complex/high-profile investigations, and represent the SVP and th... 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 Associate General Counsel, Broker-Dealer/Investment Adviser Group The candidate... will develop, direct and manage the OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. Provide high quality and timely legal and advisory support to the organization's business units, including Member Supervision and Enforcem... 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
Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate... will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop... and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. Demonstrate expertise with respect to the Exchange Act and Investment Advisers Act, their rules,... 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 - Any FINRA Location FINRA is seeking a senior litigation counsel to join its Disciplinary, Enforcement team to litigate nationwide non-disciplinary and disciplinary proceedings. The successful candidate will possess a law degree, be admitted to the bar, and have at least 10 years of litigation experience with demonstrated ability to administer and try complex securities cases. **Job Responsibilities:** * Repre... 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
Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert guidance on regulatory matters for the Market Regulation department, work in partnership with the Enforcement department on complex/high-profile investigations, and represent the depart... 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
Principal Litigation Counsel, Enforcement - Any FINRA Location FINRA is hiring for the position of Principal Litigation Counsel, Enforcement. This role will work under managerial guidance to litigate nationwide non-disciplinary and disciplinary proceedings before the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). The ideal candidate will have strong litigation, oral and written communication skills, comprehe... 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
is an Equal Opportunity Employer. # Enforcement Counsel Position at FINRA FINRA is seeking an experienced, motivated Enforcement Counsel to join their team. The Enforcement Counsel will be responsible for executing a risk-based legal strategy to assess the record fairly, researching and identifying legal requirements for charges, recommending fair and effective outcomes, and drafting clear and organized analysis and advocacy documents. ## Education/Experience 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
Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate... will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop... and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering... independent expert advice in this area. Demonstrate expertise with respect to the Exchange Act and Investment Advisers Act, their rules,... 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, Enforcement FINRA is looking for a talented and experienced individual to join its Enforcement team as a Director. The successful candidate will be responsible for managing a team of 5-8 Enforcement attorneys, providing oversight and direction to ensure timely and foreseeable high-quality Enforcement outcomes. ## Essential Job Functions The Director will be responsible for: * Providing oversight, direction and active management to Enf... 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