comprehensive legal advice and counsel across a wide range of subject areas. These include general business matters, regulatory compliance issues, corporate affairs, and non-traditional finance topics. The role involves... drafting, analyzing, and negotiating complex financial transactions and creating corporate structure...
Title: Associate, HONORS Program Job Responsibilities: Associates in the Honors Program at the organization contribute significantly to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. The role is designed to provide entry-level associates...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the department at the organization, focusing on enhancing investor protection and market integrity through informed regulatory decisions. Key responsibilities include: - Leading complex analytical projects...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members. - Report to a Risk Monitoring Director and support in identifying existing and emerging risks. - Interact with internal and external parties for effective risk...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: - Support the External Strategic Engagements leadership team in all aspects of the group's responsibilities, representing the team where appropriate. - Lead the development of high visibility and high impact publications, speaker preparation...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks while interacting with internal and external parties. - Conduct risk monitoring...
Title: Principal Analyst, Risk Monitoring 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. - Monitor complex or elevated risk...
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. - Support the Risk Monitoring Director by identifying existing and emerging risks and interacting with...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization's Member Supervision department. The incumbent is responsible for: - Leading complex analytical projects with minimal supervision to identify emerging market risks. - Developing...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as a strategic leader for the Firm Grouping, responsible for setting a multi-year strategic plan and managing priorities aligned with Member Supervision goals and vision. - Collaborate closely...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead and oversee the operations of the Capital Markets, Fixed Income Specialist, and Compliance teams, which include over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
Title: Fall Internship - PCAOB Intern Opportunities Job Responsibilities: The PCAOB internship program offers prospective interns the opportunity to immerse themselves in the day-to-day operations of various divisions and offices within the organization. Interns are expected to gain practical skills and insights...
Title: Summer Internship - **Members Only** Intern Opportunities Job Responsibilities: Interns at the organization are given an opportunity to immerse themselves in the day-to-day operations of various divisions and offices. They are expected to gain practical skills and insights that extend beyond academic...
Title: Spring Internship - PCAOB Intern Opportunities Job Responsibilities: The PCAOB internship program provides interns with a unique opportunity to contribute to the organization's mission of investor protection. Interns will be immersed in the day-to-day operations of various divisions and offices, gaining...
Title: PCAOB Fellow Opportunities Job Responsibilities: The PCAOB Fellow Opportunities are designed to offer participants hands-on experience by immersing them in the day-to-day operations of various divisions and offices within the organization. Fellows are expected to contribute meaningfully to projects and initiatives...
Director Litigation - Risk Finance Job Responsibilities: The Director Litigation... - Risk Finance is responsible for managing... all stages of litigation and claims management, from the service of process through case resolution. The role involves direct supervision of a paralegal and...