Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in contributing to Enforcement's investigations and making decisions on whether to bring disciplinary actions against individuals and firms within the financial industry. These...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting a multi-year strategic plan and managing priorities to align with the goals and vision of Member Supervision. - Work closely with cross-functional partners...
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. This includes setting a multi-year strategic...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level position within the Strategic Intelligence & Analytics (StratIntel) organization, which is part of the Member Supervision department. This role involves utilizing an expanded skillset and expertise...
Title: Family Law Senior Attorney [INTERNAL ONLY] Job Responsibilities: The Family Law Senior Attorney at the organization is expected to be an experienced litigator, strategic thinker, and subject matter expert with extensive experience in representing low-income litigants in family law cases. This...
Title: Housing Law Senior Attorney [INTERNAL ONLY] Job Responsibilities: The Housing Law Senior Attorney plays a pivotal role within the organization by offering experienced legal representation and advocacy for low-income litigants in housing law cases. The position requires the attorney to handle...
Title: Employment Attorney Job Responsibilities: - Advise and counsel employers on complex legal issues, addressing potential risks in areas such as performance documentation, discipline, termination, layoffs, employment agreements, and more. - Build and maintain strong relationships with members through regular communication, both virtual...