significant contributions to the Enforcement department's investigations and decisions... actions against individuals and firms within the financial industry. This position offers entry-level associates an opportunity to gain substantive hands-on legal experience, enhancing their skills in investigation, litigation, and writing. T...
The following jobs are no longer active but were real openings previously posted by employers.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.
Statutory Disqualification The candidate actively supports and administers the organization's Statutory Disqualification Program by researching, preparing documents and providing recommendations on matters handled by the Statutory Disqualification group. Conducts inquiries into applications for admission or re-admission to membership by statutorily disqualified firms and individuals. Applying advanced analytical skills, reviews applications and related documentation... 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Note: This job is no longer active.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
Vice President, Enforcement Legal The candidate leads,... manages, strategizes, and advises Chief Counsels and their teams on timely high-impact and noteworthy investigations and disciplinary actions in coordination with the other VP Enforcement Legal and the organization's... Regulatory Operations partners, as well... as managing the performance of the Enforcement attorney teams. Works closely... with the Enforcement's Head of Investigations in... monitoring and advising on high-impact an... 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Note: This job is no longer active.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
Specialist Responsibilities: Identify document’s originating state and review accuracy of garnishment documents received to determine jurisdictional authority of submitter, and appropriate responses Moderate analysis. Review/analyze legal court orders, child support orders, and tax liens to ensure compliance with federal, state, and local statutes Moderate analysis. Comply with the orders by placing appropriate restrictions on the account to avoid monetary expo... 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
Director, Enforcement The candidate manages a... team of 5-8 Enforcement attorneys developing and resolving... Enforcement cases through all stages,... from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Responsible for monitoring the aging and progress of cases to ensure that m... 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
Director, Enforcement The candidate will manage... a team of 5-8 enforcement attorneys developing and resolving... enforcement cases through all stages,... from inception to completion. Will be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Monitor the aging and progress of cases to ensure that matters are... 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
Rockville (Omega) NYC (Brookfield Place) Apply The Appellate Director works under the Vice President, Litigation to manage and execute... the Enforcement Department’s national appellate program. &n...... 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
Analyst I, Disclosure Review Duties: Review a full caseload, as assigned, of the various uniform form filing types to ensure compliance with all filing requirements, as well as, SRO and SEC rules, regulations and statutes. Responsibilities are generally performed with regular supervision and guidance. Research tools such as Lexis-Nexis, Court Link, CCH, and other regulatory systems are used as... needed. Courts and other regulatory or law enforcement agencies... are contacted as... 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
Principal Counsel - Main Enforcement The candidate performs a... variety of specific duties, generally including applying advanced analytical skills to provide legal interpretations regarding laws, rules, and regulations; drawing up legal documents; and representing the organization in hearings and settlements. Assigned to handle intermediate to complex investigations from initiation through recommendation on disposition. This is senior-level professional work in which incumben... 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
Principal Counsel - Main Enforcement The candidate performs a... variety of specific duties, generally including applying advanced analytical skills to provide legal interpretations regarding laws, rules, and regulations; drawing up legal documents; and representing the organization in hearings and settlements. Assigned to handle intermediate to complex investigations from initiation through recommendation on disposition. This is senior-level professional work in which incumben... 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
The Enforcement Chief Counsel leads teams... of Enforcement directors and the attorneys... who report to them, to manage Enforcement cases through all stages... from inception to completion. The Chief Counsel is a senior legal advisor to Enforcement and is responsible for... achieving consistent and foreseeable Enforcement outcomes, including by identifying... interpretive issues and collaborating with other senior managers across FINRA to develop an effective regulatory response. The Ch... 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