writing to support various legal programs within the organization. - Engage in client interviewing to gather essential information and understand legal issues. - Review and analyze documents to... assist attorneys in case preparation. - Participate in investigations and draft legal documents and corr...
needs, protect and preserve legal rights, provide equal access to justice, and seek fairness and dignity for all clients. - Work with various programs including the Disability Advocacy Program (DAP) to represent clients with physical and mental impairments. - Review medical, edu...
Title: Associate, HONORS Program-1 Job Responsibilities: Associates in the HONORS Program at the organization make significant contributions to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. They gain hands-on legal experience and develop...
The following jobs are no longer active but were real openings previously posted by employers.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.
Paralegal, Statutory Disqualification The candidate performs a variety of job duties, which include researching, reviewing, analyzing and processing legal documents. Provides project management and paralegal support to the organization's Statutory Disqualification Group (SD Group) in addition to handling a statutory disqualification (SD) caseload. Provides project management and paralegal support to the SD Group. Reviews, organizes, and tracks case files and documents... 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Note: This job is no longer active.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 of Member Regulation Enforcement Duties: Assists the EVP of Enforcement to define examination- and risk-based program goals and priorities, and to communicate them to the entire department. Works closely with the specialized Member Regulation unit to achieve outcomes that are consistent with the examination program’s objectives and risk-based approach, facilitating decision-making that is consistent with priorities, guiding principles, and Sanction Gu... 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
Litigation Counsel - Enforcement The candidate will work under minimal supervision to litigate nationwide disciplinary proceedings filed before the Office of Hearing Officers and, if necessary, brief and argue appeals to the National Adjudicatory Council. Will represent organization in a first- or second-chair capacity in complex litigations involving violations of the federal securities laws, organization and NASD Rules, Municipal Securities Rulemaking Board (MSRB) 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
Litigation Counsel (Disciplinary) - Enforcement Duties: Represent in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules. Represent in a first chair capacity in non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership app... 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
Counsel - Statutory Disqualification The candidate will actively support the execution of organization's Statutory Disqualification Program by researching, preparing documents and providing recommendations on matters handled by Member Supervision's Statutory Disqualification Group. Utilizing advanced investigative skills, will conduct extensive research and inquiries into applications for admission or re-admission to organization membership by statutorily disqualif... 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, Bluesheets The candidate will manage the overall administration and the discharge of responsibilities of the Blue Sheets section. Will plan, coordinate, and oversee assigned staff activities to ensure consistent work processes and production, and the efficient flow of work product and information. Plan and coordinate assigned staff activities to ensure that the qualitative and quantitative objectives of the regulatory program are met and compliant with th... 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
Enforcement The candidate manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Responsible for monitoring the aging and progress of cases to ensure that m... 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 Research Analyst, Special Initiatives The candidate will be responsible for independently researching and synthesizing content related to the group's work as well as drafting documents such as organization's Annual Priorities Letter and the Exam Findings Report, Regulatory Notices and reports to the Board of Governors Regulatory Operations Oversight Committee. Will work with multiple groups within Member Supervision and across other organization departmen... 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
Enforcement The candidate will resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Identify potential risks, defenses, individual liability and Principal Considerations. Effectively negotiate settlements, demonstrating kn... 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
Litigation Counsel (Non-Disciplinary Unit) - Enforcement The candidate will work under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and brief and argue appeals before the National Adjudicatory Council (NAC). Will represent the organization in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, organization's... 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