Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic direction and execution of the Examinations Program for the Firm Group, ensuring alignment with organizational goals and regulatory standards. - Develop and implement a multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers, setting a multi-year strategic plan and managing priorities to align with Member...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level professional role within the **Members Only** program of the organization. This position is integral to supporting the mission of investor protection and market integrity by engaging in...
Title: Senior Director, Office of Chief of Staff, OCLO Job Responsibilities: The Senior Director, Office of Chief of Staff, Offices of the Chief Legal Officer (OCLO) is a pivotal leadership role within the organization, responsible for overseeing a multitude of operational functions...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Strategic leadership for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Develop and manage a multi-year strategic plan aligning with...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the entire life cycle of new regulatory initiatives. - Act as a subject matter resource in one or more areas of legal expertise. - Advise the Board of Governors...
Title: Assistant General Counsel, Regulatory Job Responsibilities: The Assistant General Counsel, Regulatory is responsible for providing senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. Key responsibilities include advising the Board of Governors and advisory committees on complex and...
Title: Associate, HONORS Program Job Responsibilities: The position of Associate in the Honors Program involves significant contributions to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level role provides substantial hands-on legal...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping and set a multi-year strategic plan aligning with Member Supervision goals and vision. - Manage priorities, collaborate with cross-functional partners, and integrate examination efforts with...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist operates as an advanced expert within the Strategic Intelligence & Analytics (StratIntel) department of the organization’s Member Supervision department. This role involves utilizing a comprehensive skillset and expertise pertinent to...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the Honors Program at the organization plays a crucial role in contributing to Enforcement’s investigations and determining whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates engage...