Job Title: Associate, HONORS Program Job Responsibilities: The... Associate in the HONORS Program at the organization plays a crucial role in contributing to the Enforcement’s investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level position...
Job Title: Principal Intelligence Specialist Job Responsibilities: The... Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization, which is part of the Member Supervision department. The primary responsibilities of this position include: - Leading complex analytical projects to...
Job Title: Vice President, Capital Markets,... Fixed Income, and Compliance Testing Job Responsibilities: - Lead the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers, setting a multi-year strategic plan and managing priorities to align with...
Job Title: Associate General Counsel Job Responsibilities: -... and employment, litigation, intellectual property, tax, data privacy, cybersecurity,... and lobbying. - Advise on day-to-day legal issues, including labor and employment, contracts, insurance, intellectual property, nonprofit corporate governance, privacy,......
Job Title: Assistant General Counsel, Legal Job... Responsibilities: - Review, draft, and negotiate client and vendor contracts, RFPs, NDAs, DPAs, consulting agreements, and other commercial agreements related to the company's services. - Work closely with client service teams to resolve legal issues concerning...
**Job Title: Associate General Counsel** **Job Responsibilities:** -... Negotiate, draft, and review general business, vendor, consultant, and real estate contracts and agreements. Exercise substantial autonomy in handling contracts and releases for the Development, Communications, and Operations departments. - Conduct legal research and analysis...
Job 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, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan...
Job Title: Associate Counsel Level C Job... Responsibilities: The Associate Counsel Level C position involves providing legal counsel, recommendations, and approaches on a diverse range of legal matters. This role is crucial in ensuring the organization operates within legal boundaries while achieving...
Job Title: Associate, HONORS Program Job Responsibilities: The... Associate in the Honors Program at the organization plays a crucial role in contributing to Enforcement’s investigations and determining whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates...
Job 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 and engage in interactions with...
Job 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. - Set multi-year strategic plans and manage...
Job Title: Senior Principal Intelligence Specialist Job... Responsibilities: The Senior Principal Intelligence Specialist operates as an advanced expert within the Strategic Intelligence & Analytics (StratIntel) department of the organization’s Member Supervision department. This role involves utilizing a comprehensive skillset and expertise pertinent...