Title: Associate, HONORS Program Job Responsibilities: Associates in the Honors Program at the organization contribute significantly to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. The role is designed to provide entry-level associates...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a crucial role in supporting the mission of Strategic Intelligence & Analytics (StratIntel) within the organization’s Member Supervision department. This position involves the collection, analysis, processing, and dissemination of...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as a strategic leader for the Firm Grouping, responsible for setting a multi-year strategic plan and managing priorities aligned with Member Supervision goals and vision. - Collaborate closely...
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...
The following jobs are no longer active but were real openings previously posted by employers.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.
Regional Chief Counsel - Enforcement The candidate will be responsible for sharing supervision of the region with the Regional Chief Counsel, providing expert guidance on strategic legal, policy and factual issues related to securities regulation and enforcement, and executing major delegated managerial duties with a high level of independence. Direct and manage the screening, intake, and assignment of cases; oversee the investigative caseload of the Regional Response... 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Note: This job is no longer active.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
Compliance & Legal Analyst Review of Fund and Adviser advertising for compliance with the Securities Act of 1933, the 1940 Act, and the Advisers Act, and SEC rules thereunder, and Financial Industry Regulatory Authority (FINRA) rules. Review communications (g.,... email, text, social media) of supervised persons of the Adviser. Request and review required reports by access persons of the Funds and the Adviser under the Code of Ethics. Monitor compliance by Adviser personnel wit... 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
# Senior Litigation Counsel, Enforcement Organization is looking for an experienced Senior Litigation Counsel to join their Enforcement team. This position is based in any FINRA location. ## Job... Description The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). ##... 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
is looking for a Principal Litigation Counsel to join its Enforcement team. This position is responsible for representing the organization in nationwide non-disciplinary and disciplinary proceedings before the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). The ideal candidate will have a law degree and be admitted to the highest court of DC or any state, have a minimum of seven years of litigatio... 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
#SeniorLitigationCounsel #Disciplinary #FINRA # Senior... Litigation Counsel (Disciplinary), Enforcement - Any FINRA Location FINRA is... seeking a Senior Litigation Counsel to join their team and provide guidance and advice to their Member Supervision and the Member Application Program. This position offers a generous compensation package and works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings. ## Essential Job Functions... 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
Litigation Counsel, Enforcement Organization is seeking a Principal Litigation Counsel to join their Enforcement team. The successful candidate will be responsible for litigating nationwide non-disciplinary and disciplinary proceedings before the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). ##Essential Job Functions: - Represent Organization in a first or second chair capacity in disciplinar... 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
## Senior Litigation Counsel, Enforcement - Any FINRA Location **Overview:** ... The Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). This position is located in any FINRA location. **Essential Job... Functions:** * Represent FINRA in a first or... second chair capacity in... 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, Enforcement (Any FINRA Location) **Job Overview**... The Enforcement Counsel position is a full-time role at FINRA (Financial Industry Regulatory Authority)... with a job requisition ID of R-006724. The purpose of this role is to assess and advocate in enforcement matters, and to ensure fair and effective outcomes. **Responsibilities** - Execute an effective risk-based legal strategy to assess the record fairly - Collaborate with investigative staff to plan... 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
... 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
Advisor, Member Supervision Risk Monitoring The candidate will serve as a key member of the senior management team for the Risk Monitoring Programs. Work closely with the SVP and the senior management team to effectively manage and support the strategic operations of the department, and act as a strategic thought partner and trusted advisor. Serve as intermediary for operational, regulatory and policy issues that arise that would otherwise require the attention or... 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