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: 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: 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: 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...
The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.
Assistant The candidate will assist firm in coordinating its pro bono programs. Will carry out its mission, firm operates a number of distinct legal programs, which include a Bankruptcy Program, Children’s Representation Program, Child Support Program, Consumer Program, Disaster Legal Response Program, Divorce Program, Estate Program, ReLeSe, Tenancy Clinic, Trafficking Victims Legal Assistance Program, and Veterans Legal Program. firm’s legal assistants support al... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Assistant The candidate will provide administrative support to 1-2 of firm's legal programs and fundraising support to firm's Executive Director and Development Director. Carry out mission, firm's operates several distinct legal programs, utilizing the expertise of volunteer attorneys throughout New Jersey. firm's provides civil legal assistance in areas of consumer law, family law, re-entry, landlord/tenant, veteran’s issues, education law, and human trafficking. firm... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Legal Assistant Duties: Substantial client work, by phone, by email, and in-person (currently limited). Conducting intake interviews and assessing client eligibility. Analyzing the legal needs of applicants and making recommendations to attorneys. Managing client data and files through case-review... and case-placement. Drafting correspondence and legal documents. Scheduling, preparing, and staffing legal clinics (temporarily virtual) with clients and volunteers. Performing gen... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
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 Regulation’s strategy and, where appropriate, recommends approaches consistent with Market Regulation strategies and applicable legal and regulatory requirements. Responsible for the developme... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
and Governance Principal Counsel, Office of the Corporate Secretary Duties: Under the guidance of the Vice President, responsible for departmental compliance functions and initiatives for the Office of the Corporate Secretary, including creating, interpreting, advising on, monitoring, and maintaining various Board-level conflicts-of-interest and governance policies and procedures; coordinating timely and strategic responses on behalf of Board and External Relation... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
ORSA The candidate will analyze trading activity in options for indications of potential insider trading. Will conduct routine reviews and investigations of possible violations of the organization's rules and the federal securities laws. Conduct telephone interviews, including on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Gather evidence through timely, well-writt... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Principal Counsel and Associate Director, Data Privacy and Protection The... candidate will be responsible for interpreting, advising on, monitoring, and managing various privacy programs and activities at the organization, at all times acting in an independent and confidential manner. Responsible for privacy, legal, and programmatic privacy work. Independently counsels senior leaders across the organization regarding complex privacy matters, data loss events, and privacy... polic... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Principal Litigation Counsel, Enforcement - Any FINRA Location FINRA is hiring for the position of Principal Litigation Counsel, Enforcement. This role will work under managerial guidance to litigate nationwide non-disciplinary and disciplinary proceedings before the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). The ideal candidate will have strong litigation, oral and written communication skills, comprehe... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
is an Equal Opportunity Employer. # Enforcement Counsel Position at FINRA FINRA is seeking an experienced, motivated Enforcement Counsel to join their team. The Enforcement Counsel will be responsible for executing a risk-based legal strategy to assess the record fairly, researching and identifying legal requirements for charges, recommending fair and effective outcomes, and drafting clear and organized analysis and advocacy documents. ## Education/Experience R... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Intern, Financial Intelligence Unit The candidate will gain knowledge and experience in the securities industry with an employer that places a high value on the professional and personal growth of the employees. Will complete subtasks and/or tasks under the direction of FIU analysts and management. Research potential intelligence analysis subjects. Develop an understanding of organization's systems/applications and open (public) sources. Develop an understandin... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here