Title: Associate, HONORS Program Job Responsibilities: **Members Only** Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience that develops...
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 effectiveness, efficiency, and alignment with Member Supervision goals and vision. - Set multi-year strategic...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist holds an advanced expert-level position that involves a comprehensive set of responsibilities aligned with the mission of the **Members Only** department. The specialist's primary responsibilities include: - Collaborating across the organization and...
The following jobs are no longer active but were real openings previously posted by employers.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.
Securities Retiree Helpline The candidate will: Assist in the leadership, oversight and supervision of the Securities Helpline for Retirees. Provides retiree investors across the Nation with a supportive place to raise issues and get assistance from knowledgeable staff members related to concerns they have with their brokerage accounts and investments. Focuses on assisting retiree investors 65 years or older. Charged with ensuring matters associated with retiree i... 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Note: This job is no longer active.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
Securities Retiree Helpline Duties: To assist in the leadership, oversight and supervision of the Securities Helpline for Retirees. Provides retiree investors across the Nation with a supportive place to raise issues and get assistance from knowledgeable staff members related to concerns they have with their brokerage accounts and investments. Manage team of analysts to ensure that assigned matters are properly reviewed and investigated in a timely manner. Respons... 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
Vice President, National Cause and Financial Crimes Detection Programs The candidate will be a key member of the Member Supervision leadership team and provide critical leadership in overseeing several programs designed to identify and investigate potential financial crimes and violative activity, including fraud and insider trading. Will create and maintain a collaborative working environment and improve the flow of information to more effectively address risks ac... 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 Analyst, Capital Markets M&A Investment Banking The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks. Conducts risk monitoring for member firms that can include complex or... 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 Analyst, Capital Markets M&A Investment Banking The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks. Conducts risk monitoring for member firms that can include complex or... 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
Advisor, Member Supervision Risk Monitoring The candidate will serve as a key member of the senior management team for the Risk Monitoring Programs. Work closely with the SVP and the senior management team to effectively manage and support the strategic operations of the department, and act as a strategic thought partner and trusted advisor. Serve as intermediary for operational, regulatory and policy issues that arise that would otherwise require the attention or... 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
of Principal Litigation Counsel, Enforcement FINRA is a leading self-regulatory organization, dedicated to investor protection and market integrity. We are looking for a Principal Litigation Counsel to join our Enforcement team to represent us in 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). Responsibilities of a Principal Litiga... 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