ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with guidance from a Risk Monitoring...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key figure within the StratIntel division of the Member Supervision department. This role is instrumental in fulfilling the organization's mission of providing proactive intelligence to enhance investor protection and market...
The following jobs are no longer active but were real openings previously posted by employers.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.
Vice President & Chief of Staff, Member Supervision Duties: Leads a variety of cross-functional initiatives, in the advancement of the strategic direction of Member Supervision in support of FINRA’s organizational goals. This includes building and/or identifying teams to work through the completion of large, high profile projects, in addition to owning the scope, identifying measures of success, and managing the team(s) through successful completion of the initiativ... 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Note: This job is no longer active.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
General Counsel, Capital Markets Duties: Advise the Board of Governors and advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board. Brief and communicate complex and sensitive regulatory initiatives to senior executives. Must be able to provide such analysis under urgent deadlines. Serve as the key source of legal expertise within in one or more subject a... 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 manage a team of 5-8 enforcement attorneys developing and resolving enforcement cases through all stages, from inception to completion. Will 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. Monitor the aging and progress of cases to ensure that matters are... 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
General Counsel, Capital Markets Duties: Advise the Board of Governors and advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board. Brief and communicate complex and sensitive regulatory initiatives to senior executives. Serve as the key source of legal expertise in one or more subject areas and provide independent expert advice on questions and issues as... 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, Trading and Execution Duties: Provides operational support to the SVP, T&E in the administration of the T&E Department. Works closely with the SVP and the Department's senior leadership team in achieving departmental goals, as well as developing, coordinating, and implementing individual and cross-T&E group initiatives/strategies related to T&E's examination, risk monitoring, investigative, and reporting responsibilities. Works with the SVP, T&E in developin... 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, working under limited supervision, actively supports the execution of the organization's Statutory Disqualification Program by researching, preparing documents and providing recommendations on matters handled by Member Supervision's Statutory Disqualification Group. Will be responsible for a full caseload (assignments ranging from advanced to most complex in nature) and demonstrates an advanced ability to apply leg... 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 Advisor and Counsel, Market Regulation - Market Manipulations The candidate will assist the Senior Vice President, Market Manipulations (SVP) in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert interpretative guidance on regulatory matters for the Department, work in partnership with the Enforcement Department on complex/high-profile investigations, and represent the SVP and 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
Counsel The candidate will provide expert legal and policy advice to Enforcement management and staff in support of Enforcement Department objectives to foster transparency and predictability in the Department's regulatory responses. Work closely with the Counsel to the Head of Enforcement and others in Enforcement, including the senior management team, to provide subject matter expertise, lead special projects, and develop legal and policy guidance to support Enforce... 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
President and Associate General Counsel, Broker-Dealer/Investment Adviser Group The candidate will develop, direct and manage the OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area. Provide high quality and timely legal and advisory support to the organization's business units, including Member Supervision and Enforcem... 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