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 facilitate 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 assist in interactions with internal and external parties. -...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist holds an advanced expert-level position that involves a comprehensive set of responsibilities aligned with the mission of the **Members Only** department. The specialist's primary responsibilities include: - Collaborating across the organization and...
Title: Associate, HONORS Program Job Responsibilities: **Members Only** Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience that develops...
The following jobs are no longer active but were real openings previously posted by employers.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.
Senior Litigation Counsel, Enforcement at FINRA FINRA is currently looking for a Senior Litigation Counsel to join their Enforcement team. The Senior Litigation Counsel will work under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). Responsibilities include representing FINRA in a first or second chair ca... 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Note: This job is no longer active.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
Description Legal Graduate Intern - Enforcement - Boca Raton, FL( Job Number: 000582) Description We Work to Protect Investors. Join our Team. 2011 Summer Internship Program 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
Counsel, Enforcement 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. 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-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
Counsel, Enforcement 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. 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-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
Counsel, Enforcement The candidate will plan and conduct intermediate-in-scope sales practice investigations of broker-dealers and associated persons, including conducting on-the-record interviews. Will prepare detailed memoranda summarizing investigative findings and applicable case law. Draft complaints, decisions and memoranda of law. Participate in the litigation of disciplinary actions. Counsel district examination staff on investigations and legal issues. Revi... 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
Counsel, Enforcement 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. Will handle a varied and busy docket, working both independently and in teams, while under the supervision of experienced management. Plan and conduct intermediate-in-scope sales practice investigations of broker-dealers and associated persons, including conducting... 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
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 plan and conduct intermediate-in-scope sales practice investigations of broker-dealers and associated persons, including conducting on-the-record interviews. Prepare detailed memoranda summarizing investigative findings and applicable case law. Draft complaints,... 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
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 plan and conduct intermediate-in-scope sales practice investigations of broker-dealers and associated persons, including conducting on-the-record interviews. Prepare detailed memoranda summarizing investigative findings and applicable case law. Draft complaints,... 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
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 plan and conduct intermediate-in-scope sales practice investigations of broker-dealers and associated persons, including conducting on-the-record interviews. Prepare detailed memoranda summarizing investigative findings and applicable case law. Draft complaints,... 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
Counsel, Enforcement Duties: Plan and conduct intermediate-in-scope sales practice investigations of broker-dealers and associated persons, including conducting on-the-record interviews. Prepare detailed memoranda summarizing investigative findings and applicable case law. Draft complaints, decisions and memoranda of law. Participate in the litigation of disciplinary actions. Counsel district examination staff on investigations and legal issues. Review completed exa... 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