Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key player in the mission of StratIntel within the organization’s Member Supervision department, which focuses on delivering proactive intelligence to enhance investor protection and market integrity. Responsibilities include: - Leading complex...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is a professional position within the Strategic Intelligence & Analytics (StratIntel) division of the organization’s Member Supervision department. The role involves utilizing an expanded skill set and expertise in the...
The following jobs are no longer active but were real openings previously posted by employers.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 - Any FINRA Location FINRA is seeking a Senior Litigation Counsel to 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). The Senior Litigation Counsel will be responsible for representing FINRA in a first or second chair capacity in complex disci... 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Note: This job is no longer active.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 examinations staff on investigations and legal issues. Rev... 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
Intern - Member Regulation, Sales Practice - Philadelphia, PA( Job Number: 004908) Description We Work to Protect Investors. Join our Team. 2016 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in the securities industry with an employer that places a high value on the professional and personal growth of our employees. We set the bar high – we are looki... 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
Intern - Member Regulation, Sales Practice - Philadelphia, PA( Job Number: 004908) Description We Work to Protect Investors. Join our Team. 2016 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in the securities industry with an employer that places a high value on the professional and personal growth of our employees. We set the bar high – we are looki... 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
Attorney, Statutory Disqualification, Member Supervision The candidate responsibilities will include: Applying analytical skills, reviews applications and related documentation underlying decision whether to permit an ineligible entity or person to remain in or re-enter the securities industry. Partnering with senior level counsel, prepares the recommendation and decision on behalf of firm based on sound legal analysis and factual development. Works collaboratively an... 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
Program, Summer 2020 The intern will develop the requisite skills and knowledge to conduct reviews and investigations related to broker-dealers' compliance with applicable AML rules and regulations, including AML rules, and the Bank Secrecy Act. Will achieve an understanding and working knowledge of organization's role and responsibilities regarding industry compliance with applicable AML rules and regulations. Learn how to conduct surveillance in the securities i... 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
of Pennsylvania and **Members Only**, and its hospitality industry subsidiaries with regard to a broad range of real estate activities, including real estate development, purchases and sales, leases and other related activities. The attorney will be expected to advise and assist the University’s Vice President for Facilities and Real Estate Services and 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, 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