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,...
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...
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...