management and their designees in complex and rapidly evolving areas of the law. This role involves analyzing and offering legal guidance on a wide range of regulatory, contractual, and operational matters,... including the interpretation and implementation of legislation. The...
comprehensive range of legal services in support of the... divisions or departments. The focus areas include regulatory, compliance, litigation, and employment... law. Key responsibilities include: - Providing advice and counsel to management and their designees in complex and rapidly evolving legal...
Counsel, Capital Markets Job Responsibilities: 1. **Regulatory Guidance and Advisory**: -... lifecycle of adopting new regulatory requirements. - Advise the... on complex and sensitive regulatory initiatives and rule changes. ... legal advice on high-impact regulatory policy matters. - Serve... the organization in specific regulatory areas....
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. This includes setting a multi-year strategic plan, managing...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the StratIntel mission within the organization's Member Supervision department. This role is responsible for: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing...
and information requests. - Conducts legal research and proofreads legal documents as assigned. - Reviews, organizes, and tracks court, arbitration, and administrative subpoena requests and files. - Researches legal and regulatory sources to locate decisions... and responsive documents. - Assembles, organizes, duplicates, and d...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of **Members Only** members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director by identifying existing and emerging risks and engaging with both internal and...
Title: Principal Analyst, Risk Monitoring - Retail** **Job Responsibilities:** - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks in collaboration with a Risk Monitoring Director and interact with...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, and interact with internal and external parties in this senior-level...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engaging with both internal...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy, serving as the Chief Privacy Officer (CPO), leads the organization's Enterprise Data Privacy Office and oversees its privacy function. The CPO is tasked with designing,...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the Member Supervision department of the organization. The role involves leading complex analytical projects to identify emerging market risks with minimal supervision. The responsibilities...
Title: Assistant Special Counsel, Office of Hearing Officers Job Responsibilities: The Assistant Special Counsel in the Office of Hearing Officers is a senior-level legal position responsible for providing effective legal support to Hearing Officers in connection with the adjudication of disciplinary proceedings....
multi-year strategic plans and managing priorities to align with Member Supervision goals and vision. - Work closely with cross-functional partners outside Member Supervision to integrate Examination efforts with Regulatory Operations. - Ensure connectivity and... partnership with Member Supervision’s centralized and support funct...
government agreements, including NDAs, services agreements, teaming agreements, subcontracts,... and order forms. - Negotiate contracts with federal, state, and local agencies and government integrators, balancing risk management with business objectives. - Ensure ongoing compliance with contract requirements, including flow-down clauses, reporting obligations,...
the Office of General Counsel (OGC) Regulation offices. - Evaluate and refine organizational systems to enhance operational efficiency and effectiveness. - Plan and coordinate programs, initiatives, and events, overseeing the preparation of agendas, materials, logistics, and follow-up for staff and regulatory...
TITLE: Legal Counsel POSITION CLASSIFICATION: Senior Director SALARY BAND: A and B REPORTS TO: General Counsel LOCATION: Washington, DC Area (Preferred) About the Organization The organization is dedicated to a national effort to protect and restore rivers, from remote mountain streams to urban waterways, emphasizing the...