comprehensive legal advice and counsel across a wide range of subject areas. These include general business matters, regulatory compliance... issues, corporate affairs, and non-traditional finance topics. The role involves... drafting, analyzing, and negotiating complex financial transactions and creating corporate structure...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the department at the organization, focusing on enhancing investor protection and market integrity through informed regulatory decisions. Key responsibilities include: - Leading complex analytical projects...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: - Support the External Strategic Engagements leadership team in all aspects of the group's responsibilities, representing the team where appropriate. - Lead the development of high visibility and high impact publications, speaker preparation...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director by identifying existing and emerging risks and interacting with...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization's Member Supervision department. The incumbent is responsible for: - Leading complex analytical projects with minimal supervision to identify emerging market risks. - Developing...
Title: Corporate Paralegal Job Responsibilities: General Support: - Assist the Corporate Counsel team in managing corporate governance, compliance, and recordkeeping to ensure smooth operations across the organization. - Support corporate litigation, mediation, and arbitration matters by tracking deadlines, managing team data, and generating reports...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead and oversee the operations of the Capital Markets, Fixed Income Specialist, and Compliance teams, which include over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
Director Litigation - Risk Finance Job Responsibilities: The Director Litigation... - Risk Finance is responsible for managing... all stages of litigation and claims management, from the service of process through case resolution. The role involves direct supervision of a paralegal and...