General Counsel Reports to: President FLSA Status: Exempt Salary Range: $134,970 - $155,631 Location: Remote Tentative Start Date: As soon as possible Position Summary The General Counsel is responsible for ensuring compliance with regulations, identifying and documenting regulatory risks, and assisting the organization in developing controls. This...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks. - Interact with both internal and external...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers. This includes setting a multi-year strategic plan,...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst within the Office of Strategic Engagements (OSE) at the organization is tasked with supporting the leadership team in all aspects of the group’s responsibilities. This role involves representing...
to internal stakeholders on a diverse array of matters. These matters include general operations and administration, nonprofit governance, contracts, fundraising, labor and employment, litigation, intellectual property, tax, data privacy and... cybersecurity, and lobbying. The Associate General Counsel will work close...