significant contributions to the Enforcement department's investigations and decisions... regarding potential disciplinary actions against individuals and firms within the financial industry. This position offers entry-level associates an opportunity to gain substantive hands-on legal experience, enhancing their skills in investigation, litigation,...
in contributing to the Enforcement's investigations and decisions regarding... disciplinary actions against individuals and firms in the financial industry. This entry-level position involves working under the supervision of more senior attorneys, investigators, Directors, and Chief Counsels. Honors Associates engage in...
effective legal support to Hearing Officers in connection with the adjudication of disciplinary proceedings. The role involves handling a wide range of cases brought by the Department of Enforcement against registered firms and... associated persons, as well as temporary...
Title: Associate General Counsel, Capital Markets Job Responsibilities: 1. **Regulatory Guidance and Advisory**: - Direct and manage the full lifecycle of adopting new regulatory requirements. - Advise the Board of Governors and senior management on complex and sensitive regulatory initiatives and rule...
Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors... Program play a crucial role in contributing to the investigations and decisions regarding disciplinary actions against individuals and organizations in the financial industry. This entry-level position provides associates with substantive hands-on...