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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...
Risk Management Executive Director Job Summary: The Children’s Hospital Los Angeles (CHLA) is seeking an experienced executive director to lead their risk management and legal affairs department. As one of the top 10 pediatric hospitals in the nation,...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
conduct? Then join us at the Public Company Accounting Oversight Board (PCAOB) as a legal intern for Fall 2024. As a nonprofit organization established by Congress, the PCAOB oversees the audits of public companies and SEC-registered brokers and dealers t...
Litigation Counsel, Enforcement - Any FINRA Location Overview: The Senior Litigation Counsel, Enforcement will have the opportunity to work on complex disciplinary and non-disciplinary proceedings nationwide, as well as brief and argue appeals before the National Adjudicatory Council...
Risk Monitoring - Capital Markets - Any FINRA Location Full Time Job Requisition ID: R-008111 Job Title: Director, Risk Monitoring - Capital Markets Experience: MBA, JD, other graduate degree and/or relevant industry certification(s) preferred. Organization:...
Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with...
public companies and SEC-registered brokers and dealers ... Mission to protect investors and promote independent, accurate, and informative audit reports Focus on modernizing audit standards, enhancing inspections, and strengthening enforcement Commitment to upholding...