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Enforcement The candidate will manage 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...
Enforcement The candidate will manage 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...
PCAOB also provides reasonable accommodation to qualified individuals with disabilities in accordance with applicable laws. If you need reasonable accommodation for any part of the application and hiring process, please email us at . The PCAOB is a registered...
well as a retirement plan and paid time off. Staff Counsel Position at A Non-Profit Organization in Chicago, IL A Non-Profit Organization, a national public interest law firm, is seeking a... highly qualified and experienced Staff Counsel to j...
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, NCP - IRG The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify...
Principal Investigator, NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
Investigator, FINOP-NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and...
Investigator, NCP The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify the regulatory...