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...
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. - Conduct risk...
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Counsel, Enforcement ## Job Summary FINRA is seeking an Enforcement Counsel to join their team. The Enforcement Counsel will be responsible for assessing and advocating in Enforcement matters. The successful candidate will have a law degree and have a minimum of four years of relevant legal experience in a regulatory or legal environment. ## Responsibilities - Execute an effective risk-based legal strategy to assess the record fairly - Collaborate with investig... 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Note: This job is no longer active.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 in Enforcement to join their team! The role is a full-time position and will be based in any FINRA location. The Principal Litigation Counsel works under managerial guidance to litigate 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). ## Responsibilities * Represent FINRA in a fir... 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Note: This job is no longer active.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