effective legal support to Hearing Officers in connection with the adjudication of disciplinary proceedings. The role involves handling a wide range of cases brought by the Department of Enforcement against registered firms and associated persons,... as well as temporary...
The following jobs are no longer active but were real openings previously posted by employers.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.
the complete life cycle of appellate matters within FINRA and on appeal to the SEC; provide expert knowledge to the National Adjudicatory Council (NAC) and Board of Directors on all appellate matters and related issues by advising them on factually and legally complex appellate matters. Essential Job Functions: Serves as attorney-advisor to the National Adjudicatory Council (NAC) in FINRA... 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Note: This job is no longer active.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Note: This job is no longer active.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
Assistant Special Counsel in the Office of Hearing Officers performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal support to FINRA Hearing Officers in connection with the adjudication of disciplinary proceedings on a wide range of cases brought by FINRA’s Department of Enforcement against FINRA-registered firms and persons associated with FINRA-registered firms, as well as temporary cease and desist procee... 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
Position: Attorney Advisor Company: Child and Family... Services Job Location(s): Washington, DC Start Date: As soon as possible Employment Term: Regular Employment Type: Full Time Starting Salary Range: $106, - $139, Required Experience: Open Required Security Clearance: None Related Categories: Investment - Consultant, Finance -... Advisor/Services Position Description Job Title:... Attorney Advisor Requisition Number: JO-1510-3868 Grade:... 14 Salary Range: $... 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
Associate General Counsel Responsibilities: Draft, review and/or comment on private fund documents, investment management agreements, loan documents,... confidentiality agreements and other contracts. Support and manage securities compliance and regulatory matters including blue sky registrations for sales of the Community Investment Note, and agent registrations.... Oversee charity and fundraising compliance and filings. Advise on nonprofit corporate governance and growth opportu... 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
Associate General Counsel Responsibilities: Draft, review and/or comment on private fund documents, investment management agreements, loan documents,... confidentiality agreements and other contracts. Support and manage securities compliance and regulatory matters including blue sky registrations for sales of the Community Investment Note, and agent registrations.... Oversee charity and fundraising compliance and filings. Advise on nonprofit corporate governance and growth opportu... 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
Compliance Duties: Overseas Compliance Supervisor responsibilities. Oversee the review of exception reports, blotters, correspondence (electronic, written and verbal), marketing and other operations and sales functions for compliance with state and Federal laws and regulations and NFBS and NFFG policies and procedures. Oversee the review of securities and insurance activities/transactions arising from NFBS and NFFG representatives recommendation and sales of product... 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