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: 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...
The following jobs are no longer active but were real openings previously posted by employers.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.
Counsel, Statutory Disqualification The candidate, working under limited supervision, actively supports the execution of the organization's Statutory Disqualification Program by researching, preparing documents and providing recommendations on matters handled by Member Supervision's Statutory Disqualification Group. Will be responsible for a full caseload (assignments ranging from advanced to most complex in nature) and demonstrates an advanced ability to apply leg... 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Note: This job is no longer active.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
Regional Counsel - Legal Enforcement The candidate performs a variety of specific duties including initiating and bringing to resolution disciplinary actions; and providing legal assistance to the examination program. Will be expected to handle a varied and busy docket, working both independently and in teams, while under the supervision of experienced management. Help plan and conduct complex sales practice investigations of broker-dealers and associated persons, including...... 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
Enforcement Regional Counsel Duties: Will perform a variety of specific duties including initiating and bringing to resolution disciplinary actions; and providing legal assistance to the examination program. Regional Counsel is expected to handle a varied and busy docket, working both independently and in teams, while under the supervision of experienced management. Help plan and conduct complex sales practice investigations of broker-dealers and associated persons, includin...... 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
Regional Legal Counsel - Enforcement The candidate will perform a variety of specific duties including initiating and bringing to resolution disciplinary actions and provide legal assistance to the examination program. Will handle a varied and busy docket, working both independently and in teams, while under the supervision of experienced management. Help plan and conduct complex sales practice investigations of broker-dealers and associated persons, including... conducting on-... 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
Regional Counsel - Enforcement The candidate performs a variety of specific duties including initiating and bringing to resolution disciplinary actions and providing legal assistance to the examination program. Handles a varied and busy docket, working both independently and in teams, while under the supervision of experienced management. Prepare Help plan and conduct complex sales practice investigations of broker-dealers and associated persons, including... conducting on-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
Enforcement Regional Counsel The candidate will perform a variety of specific duties including, initiating and bringing to resolution disciplinary actions; and providing legal assistance to the examination program. Handle a varied and busy docket, working both independently and in teams, while under the supervision of experienced management. Help plan and conduct complex sales practice investigations of broker-dealers and associated persons, including... conducting on-the-recor... 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
Work to Protect Investors. Join Our Team. 2016 Fall Extern Program We are seeking a well-qualified individual for a Graduate Legal Externship in our Enforcement Department in Chicago, IL . This position is UNPAID and students must receive school credit to be eligible to participate . The selected student will work part-time , approximately 20 hours a week, during the school term. The Externship Program runs concurrent to the school’s term. To be considered f... 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