Job Title: Vice President, Capital Markets, Fixed Income, and... operations and execution for Capital Markets, Fixed Income Specialist,... and Compliance teams, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned with Member Supervision goals and...
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 or elevated...
The following jobs are no longer active but were real openings previously posted by employers.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 - Market Regulation Duties: Under the direct supervision of the Chief Counsel, Litigation, or Assistant Chief Counsel, Quality of Markets to the Market Regulation... Department, will engage in the following activities: Advise and participate in examination and surveillance reviews and complex investigations conducted by the Department pertaining to the trading and market making, and sales practice violations by member firms and associated persons including the gatheri... 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Note: This job is no longer active.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, Capital Markets Duties: Advise the... Board of Governors and advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board. Brief and communicate complex and sensitive regulatory initiatives to senior executives. Must be able to provide such analysis under urgent deadlines. Serve as the key source of legal expertise within in one or more subject a... 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 - Market Regulation The candidate will be responsible for participation in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department (Department) for violations of the Association's rules and the federal securities laws and provides legal advice and counsel to the staff of the Department. Will advise and participate in examination and surveillance reviews and complex investigations conducted by the Department pertai... 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
Administrator Duties: Provides administrative and legal support for Manager of Due Diligence and the Due Diligence Group, including preparing and assembling routine materials, assisting with various transactional projects, filing and maintaining legal and closing records, performing secretarial functions as assigned. Provides support by assisting with various projects for acquisitions, dispositions and development transactions. Responsible for maintaining the corp... 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
- Market Regulation, Trading & Financial Compliance Examinations (TFCE) Equities Duties: Managing an assigned group of Compliance Examiners to ensure that required TFCE examinations are scheduled, executed and completed in timely manner that will achieve Departmental, FINRA and SEC requirements. Provide Market Regulation management with information regarding the achievement of required goals, new developments and obstacles to achieving goals. Hiring and directing t... 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
- (Contractor) - Market Regulation, Legal The candidate will have participation in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department (Department) for violations of the Association's rules and the federal securities laws and provides legal advice and counsel to the staff of the Department. Will advise and participate in examination and surveillance reviews and complex investigations conducted by the Department pert... 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
In-House Counsel Duties: Reports to Chief Operating Officer. Responsible for leading tactical legal work for lines of business, as well as coordinating the work of outside counsel. Will be directly involved in complex real estate and financial business transactions and in negotiating critical contracts. Provides transactional legal support to the Community Strategies, Capital Solutions, and Real Estate... Services departments. Responsible for negotiating, writing, reviewing,... 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
Analyst - Office of Fraud Detection & Market Intelligence - ORSA Duties: Conducts routine review and investigations of unusual market activity for evidence of potential insider trading in options and for potential violations of relevant federal securities laws and Regulatory Authority rules. Routinely analyzes trading activity in options for indications of potential insider trading . Conducts routine reviews and investigations into possible violations of federal... 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
Market Regulation Duties: Participation in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department for violations of the Association’s rules and the federal securities laws and provides legal advice and counsel to the staff of the Department. Under the direct supervision of the Chief Counsel or Assistant Chief Counsel to the Market Regulation Department, the attorney will engage in the following activities: Advise 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
Counsel - Market Regulation Duties: Participation in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department (Department) for violations of the Association’s rules and the federal securities laws and provides legal advice and counsel to the staff of the Department. Advise and participate in examination and surveillance reviews and complex investigations conducted by the Department pertaining to the trading and market m... 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