Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst is a critical role within the Office of Strategic Engagements team in the Member Supervision department. The primary responsibilities include supporting the External Strategic Engagements leadership team in...
Title: Senior Director, Office of Chief of Staff, OCLO Job Responsibilities: The Senior Director, Office of Chief of Staff, Offices of the Chief Legal Officer (OCLO) is a pivotal leadership role within the organization, responsible for overseeing a multitude of operational functions...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the entire life cycle of new regulatory initiatives. - Act as a subject matter resource in one or more areas of legal expertise. - Advise the Board of Governors...
Title: Assistant General Counsel, Regulatory Job Responsibilities: The Assistant General Counsel, Regulatory is responsible for providing senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. Key responsibilities include advising the Board of Governors and advisory committees on complex and...
Title: Associate, HONORS Program Job Responsibilities: The position of Associate in the Honors Program involves significant contributions to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level role provides substantial hands-on legal...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned...
Title: Assistant General Counsel, Legal Job Responsibilities: - Review, draft, and negotiate client and vendor contracts, RFPs, NDAs, DPAs, consulting agreements, and other commercial agreements related to the company's services. - Work closely with client service teams to resolve legal issues concerning commercial...
Title:** Principal Intelligence Specialist **Job Responsibilities:** The Principal Intelligence Specialist is integral to the StratIntel mission within the organization's Member Supervision department. The role involves: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated frameworks to evaluate high-impact...
Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and... ongoing risk assessments of members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Handle complex or elevated risk firms with guidance...
Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and... risks, supporting interactions with internal and external parties. - Conduct risk monitoring activities for... complex or elevated risk firms with guidance and minimal supervision. - Collaborate with internal departments to analyze, communicate, a...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: The Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. This senior-level position supports the Risk Monitoring Director in...
Title: Immigration Legal Team Intern (Unpaid) Job Responsibilities: The Immigration Legal Team Intern will assist the Immigration Department staff in providing critical services to refugees, asylees, and other immigrants. Key responsibilities include: - Assisting with applications related to adjustment of status, citizenship, and...
Title: Asylum Seeker Legal Services Intern (unpaid) Job Responsibilities: The Asylum Seeker Legal Services Intern will work closely with the immigration legal staff to provide essential services to asylum seekers and other immigrants. The intern's responsibilities include: - Assisting immigration staff in providing...
Title: Children's Attorney Job Responsibilities: - Conduct intakes with child clients... to identify relief and provide direct representation for unaccompanied children released to sponsors in specified counties. - Manage a moderate to heavy caseload of children’s cases before the Immigration Court and USCIS. -...
Title: Children's Legal Intern (unpaid) Job Responsibilities: - Support in building and fostering relationships with young clients by participating in client meetings. - Provide administrative support to the Children’s Legal Services team, including checking for upcoming court hearings, communicating regularly with clients, preparing...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Strategic leadership for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Develop and manage a multi-year strategic plan aligning with...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert level position within the Strategic Intelligence & Analytics (StratIntel) organization, part of the Member Supervision department. The role involves the collection, analysis, processing, and dissemination of...
Title: Summer 2026 Legal Intern, Racial Justice Program Job Responsibilities: The Summer Legal Intern in the Racial Justice Program will be responsible for supporting the ongoing litigation, investigations, and advocacy efforts of the program. Key duties include: - Conducting legal and factual research -...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the HONORS Program at the organization plays a crucial role 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...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization, which is part of the Member Supervision department. The primary responsibilities of this position include: - Leading complex analytical projects to identify...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers, setting a multi-year strategic plan and managing priorities to align with Member...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a significant role in the StratIntel mission within the organization’s Member Supervision department. Their primary responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated...
Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and... internal and external parties. - Conduct risk monitoring activities for... complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborate with internal departments to...
Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and... ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting the direct manager in interactions with internal and external parties. - Engage in risk...
Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and... ongoing risk assessments of organization members, focusing on both existing and emerging risks. - Report to a Risk Monitoring Director, supporting them in identifying risks and interacting with both internal and external...
- Capital Markets Job Responsibilities: - Conduct risk monitoring activities and... ongoing risk assessments of members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and support interactions with internal and external parties. - Engage in risk monitoring activities, including complex...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic direction and execution of the Examinations Program for the Firm Group, ensuring alignment with organizational goals and regulatory standards. - Develop and implement a multi-year strategic...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level professional role within the **Members Only** program of the organization. This position is integral to supporting the mission of investor protection and market integrity by engaging in...