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General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Advisor, Member Supervision The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in...
Principal Investigator, Specialist Team The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; provides guidance to Member Supervision staff on their complex assignments, as well...
Investigator, Specialist Team The candidate conducts high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles...
Principal Investigator, Specialist Team - All FINRA Locations H2: Job Description Organization: FINRA Job Title: Principal Investigator, Specialist Team Job Type: Full-time Location: All FINRA Locations Salary Information: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington,...
Risk Monitoring - Capital Markets Full-time position Job Requisition ID: R-008111 Role Overview: The Director of Risk Monitoring is responsible for overseeing the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping...
Title: Litigation Assistant - Criminal Defense Practice Location: New York, NY (Citywide) Salary Range: $60,000 - $86,577 Type: Full-Time, Non-Exempt Organization: The Legal Aid Society Department: Criminal Defense Practice The Legal Aid Society, the nation's oldest and largest...
Staff Attorney at Animal Defense Partnership Animal Defense Partnership (ADP) is seeking a full-time Staff Attorney who is currently licensed in at least one state and is based in the United States. The lawyer we hire will have exceptional legal,...