eligibility, and determine whether to represent or refer clients as needed. - Maintain a caseload of business-related legal matters, including business formation, document drafting (such as contracts, bylaws, operating agreements), business financing, intellectual property protection, and regulatory compliance, under the s......
represent or refer clients as needed. - Maintain a case load of matters requiring legal expertise on business-related issues including business formation, document drafting (contracts, bylaws, operating agreements, etc.), financing for businesses, IP protection, and regulatory compliance under the supervision......
Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop a multi-year strategic plan and manage priorities aligned with Member Supervision goals and vision. - Collaborate closely with cross-functional partners and integrate Examination efforts with Regulatory Operations....
Title: Homeowner Protection Directing Attorney Job Responsibilities: The Homeowner Protection Directing Attorney is responsible for leading a practice group dedicated to preventing low-income and senior homeowners from losing their homes and potentially falling into homelessness. Key responsibilities include: - Collaborating with the VP...
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, aimed at enhancing investor protection and market integrity. The key responsibilities include: - Leading complex analytical projects to identify...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) within the department is charged with supporting the External Strategic Engagements leadership team in fulfilling their responsibilities. This includes representing the...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. - Identify existing and emerging risks and interact with both internal and external parties to...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal and external...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and interact with internal and external...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting directly to a Risk Monitoring Director. - Serve as a senior-level support to the Risk Monitoring Director in identifying existing...
division of the organization's Member Supervision department. This position is responsible for delivering proactive intelligence to enhance investor protection and market integrity through informed, timely regulatory decisions. The key responsibilities... include: - Leading complex analytical projects to identify emerging market risks...
of the Examinations Program for the Firm Group, ensuring alignment with Member Supervision goals and vision. - Collaborate with cross-functional partners and Regulatory Operations to integrate examination... efforts effectively. - Oversee the Examination Program, ensuring timely and effective examinations tailored to addre...