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...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal... life cycle of new regulatory initiatives. - Advise the Board... advisory committees on complex regulatory initiatives and rule changes. -... Brief and communicate complex regulatory initiatives to senior executives... under urgent deadlines. - Serve...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal... life cycle of new regulatory initiatives. - Serve as a... advisory committees on complex regulatory initiatives and rule changes. -... Communicate complex regulatory initiatives to senior executives... under urgent deadlines. - Provide expert advice...
the Enforcement department's investigations and decisions regarding potential disciplinary actions against individuals and firms within the financial industry. This position offers... entry-level associates an opportunity to gain substantive hands-on legal experience, enhancing their skills in investigation, litigation, and writing. T...
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. Develop strategic plans aligned with Member Supervision goals...
a focus on drafting correspondence, reviewing, and responding to subpoenas and information requests. Key responsibilities include: - Reviewing, organizing, and tracking court, arbitration, and administrative subpoena requests and files. - Conducting legal and regulatory research to locate decisions... and responsive documents. - Assem...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - The Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - This senior-level position supports the Risk Monitoring Director in...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting interactions with internal and external parties. - Perform risk monitoring...
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 in interactions with internal and...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy, also known as the Chief Privacy Officer (CPO), leads the organization's Enterprise Data Privacy Office. The primary responsibilities include: - Designing, implementing, and...
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. - Identify existing and emerging risks and interact with internal and external parties. - Perform risk...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal... life cycle of new regulatory initiatives, serving as a... on complex and sensitive regulatory initiatives and rule changes... with limited oversight. - Brief and communicate complex regulatory initiatives to senior executives,... provi...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal... life cycle of new regulatory initiatives. - Serve as a... on complex and sensitive regulatory initiatives and rule changes. -... Communicate complex regulatory initiatives to senior executives... with urgency. - Act as a legal...
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, consisting of over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
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. The responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated frameworks...
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 interacting with internal and external...
members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks with minimal supervision, particularly focusing on complex or elevated risk firms. - Collaborate with internal departments to analyze, communicate, and make recommendations concerning regulatory intelligence. - Mentor and coach... jun...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting interactions with internal and external parties. - Handle complex or elevated risk...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy serves as the Chief Privacy Officer (CPO) of the organization, leading the Enterprise Data Privacy Office and overseeing the privacy function of the organization. The...
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, supporting both direct manager and interactions with internal and...
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. The key responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated...
the Firm Grouping, setting a multi-year strategic plan and managing priorities aligned with Member Supervision goals and vision. - Collaborate with cross-functional partners outside Member Supervision, integrating Examination efforts with Regulatory Operations and ensuring connectivity... with centralized and support functions. - P...
Title: Senior Program Administrator, OGC Regulation Job Responsibilities: The Senior Program Administrator in the Office of General Counsel (OGC) at the organization plays a crucial role in maintaining and enhancing the operational efficiency of the office. Responsibilities include: - Providing high-quality administrative support...