Title: 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...
Title: Paralegal, Litigation Job Responsibilities: The Paralegal in the Litigation group within the department of the Chief Legal Officer is tasked with assisting in responding to information requests received by the organization, its officers, and its employees. This includes handling third-party subpoenas...
Title: Paralegal Job Responsibilities: The Paralegal at the organization is tasked with providing comprehensive administrative support to attorneys, specifically in areas related to litigation, education, advocacy, policy projects, and other organizational activities. The role involves managing and organizing case files, dockets, and...
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 and serving as a subject matter expert in one or more areas of legal...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a crucial role in supporting the mission of the Strategic Intelligence & Analytics (StratIntel) organization within the department. The position involves the following key responsibilities: - Partner with internal and...
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. This includes setting a multi-year strategic plan, managing...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting multi-year strategic plans and managing priorities to align with Member Supervision goals and vision. - Work closely with cross-functional partners outside Member Supervision...
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...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the life cycle of new regulatory initiatives, serving as a subject matter resource in various areas of legal expertise. - Advise the Board of Governors and advisory committees...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the entire lifecycle of adopting new regulatory initiatives. - Serve as a subject matter expert in one or more areas of legal expertise, providing guidance under general supervision. -...
Title: Principal 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. - Conduct risk...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the Member Supervision department of the organization. The role involves leading complex analytical projects to identify emerging market risks with minimal supervision. The responsibilities...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of **Members Only** members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director by identifying existing and emerging risks and engaging with both internal and...
Title: Principal Analyst, Risk 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, and interact with internal and external parties in this senior-level...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engaging with both internal...
Title: Intellectual Property and Brand Enforcement Paralegal Job Responsibilities: The Intellectual Property and Brand Enforcement Paralegal is responsible for supporting the Office of General Counsel and Compliance in managing intellectual property compliance and corporate legal functions for a reputed firm. Key responsibilities...
Title: Paralegal, Litigation Job Responsibilities: - Provides paralegal support by drafting correspondence and reviewing and responding to subpoenas and information requests. - Conducts legal research and proofreads legal documents as assigned. - Reviews, organizes, and tracks court, arbitration, and administrative subpoena requests and files. -...