Vice President, Corporate Financing - Lead and... manage the Corporate Financing Department within FINRA's... Offices of the Chief Legal Officer (OCLO). This position involves developing policies, strategies, and decisions, collaborating with H1: Vice President, Corporate Financing - Lead and......
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Enforcement The candidate will manage a team of 5-8 enforcement attorneys developing and resolving enforcement cases through all stages, from inception to completion. Will be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that...
Director, Market Regulation Operations/Services The candidate will provide leadership and direction to the timely preparation and approval of FINRA and RSA ROC reports. Evaluates the impact of changes to relevant rules and regulations enforced by Market Regulation have on Market...
Enforcement Center Duties: Responsible for ensuring that Enforcement attorneys conduct thorough and thoughtful factual and legal analysis to achieve optimal outcomes in every Enforcement matter. Manages a team of attorneys, who may be located in different locations, handling a diverse...
Principal Advisor and Counsel, Market Regulation - Market Manipulations The candidate will assist the Senior Vice President, Market Manipulations (SVP) in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert interpretative guidance on regulatory...
Principal Advisor & Counsel, Trading & Execution Duties: Provides operational support to the SVP, T&E in the administration of the T&E Department. Works closely with the SVP and the Department’s senior leadership team in achieving departmental goals, as well as...
issues relating to futures. Will represent the Department in dealings with high-level representatives of industry, government agencies, other regulatory agencies, and committees. Work to implement rules, regulations, and enforcement policies for the Life Markets (NQLX). Represent the Department... with r...
Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert guidance on regulatory...
Principal Advisor and Counsel, Market Regulation - Market Manipulations The candidate will assist the Senior Vice President, Market Manipulations (SVP) in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert interpretative guidance on regulatory...
Locations: Chicago, IL & Rockville, MD Job Summary: The Enforcement Chief Counsel leads teams of Enforcement directors and the attorneys who report to them, to manage Enforcement cases through all stages from inception to completion. The Chief Counsel is a senior legal...
- Market Regulation TFCE Equities The candidate will be managing an assigned group of Examiners to ensure that required TFCE examinations are scheduled, executed and completed in timely manner that will achieve Departmental, firm and SEC requirements. Provide Market Regulation...