Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead operations... Fixed Income Specialist, and Compliance teams, comprising over 120... Member Supervision goals and vision, collaborating with cross-functional partners, and integrating Examination efforts with Regulatory Operations. - Oversee all fixed... income, capital ma...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst within the Office of Strategic Engagement (OSE) team is tasked with supporting the External Strategic Engagements leadership team. This includes representing the team where appropriate and leading the...
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. - Support the Risk Monitoring Director by identifying existing and emerging risks and interacting with internal...
the Examinations Program for the Firm Group, ensuring effectiveness, efficiency, and alignment with Member Supervision goals and vision. - Set multi-year strategic plans and manage priorities for the Firm Group, collaborating with cross-functional partners and integrating examination efforts with Regulatory Operation...
The following jobs are no longer active but were real openings previously posted by employers.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.
Intern-Member Regulation-Boca Raton Requisition ID 2637 Full/Part Time Full-time Location Boca Raton FL Description 2010 Summer Internship Program We are dedicated to providing you an opportunity to gain real-life exposure to the securities industry with an employer that places a high value on the professional and personal growth of our employees. We set the bar high we expect you to bring a strong results orientation and a commi... 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Note: This job is no longer active.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
Senior Vice President and Regional Director, Member Regulation, Sales Practice Duties: Will lead, manage and direct the overall operations of the South Region's District Offices, including its core regulatory programs pursuant to company's... guidelines and requirements, including leading and participating in national strategic and tactical initiatives. As a senior-level manager and company's officer, represent company and Member Regulation before various constituents internall... 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
Undergraduate/Graduate Intern - Member Regulation, Sales Duties: Learn how to gather information on member firms from rules, regulations guidelines, records, databases, SROs and regulatory agencies. Learn how to... determine member firm regulatory compliance. Observe examination activity... performed by more senior staff. Assist in reviewing and analyzing customer complaints and termination for cause investigations. Assist with reviewing, analyzing, and comparing documents and inf... 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
Undergraduate/Graduate Intern, Member Regulation Duties: Provide an individual with the opportunity to learn the training function and skills in developing, delivering and maintaining technical training for FINRA examination and investigative staff on rules and regulations in which brokerage firms and registered securities representatives must comply with. Learn how to gather information on member firms from rules, regulations guidelines, records, databases, SROs and r... 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
2015 Summer Internship Program Interns will work in Member Regulations department. The Summer Internship Program runs from May 18, 2015 through August 7, 2015. Provide an individual with the opportunity to develop the requisite skills and knowledge to conduct FINRA examinations to ensure brokerage firms and registered securities representatives are in compliance with securities rules and... regulations. Achieve an understanding and working knowledge of company's role and respon... 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
Securities Retiree Helpline The candidate will: Assist in the leadership, oversight and supervision of the Securities Helpline for Retirees. Provides retiree investors across the Nation with a supportive place to raise issues and get assistance from knowledgeable staff members related to concerns they have with their brokerage accounts and investments. Focuses on assisting retiree investors 65 years or older. Charged with ensuring matters associated with retiree i... 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
Graduate/Undergraduate Intern, Member Regulation Duties: To provide an individual with the opportunity to develop the requisite skills and knowledge to conduct examinations to ensure brokerage firms and registered securities representatives are in compliance with securities rules and... regulations. Achieve an understanding and working knowledge of role and responsibilities in the securities industry with exposure to customer complaints, routine examinations, and the new memb... 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
Securities Retiree Helpline Duties: To assist in the leadership, oversight and supervision of the Securities Helpline for Retirees. Provides retiree investors across the Nation with a supportive place to raise issues and get assistance from knowledgeable staff members related to concerns they have with their brokerage accounts and investments. Manage team of analysts to ensure that assigned matters are properly reviewed and investigated in a timely manner. Respons... 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
Graduate / Undergraduate Intern, Member Regulation The intern will achieve an understanding and working knowledge of organization's role and responsibilities in the securities industry with exposure to customer complaints, routine examinations, and the new member application process. Will learn how to gather information on member firms from rules, organization systems, firm records, databases, and regulatory agencies. Learn how to... determine member firm regulatory compliance.... 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
Senior Vice President & Regional Director - Member Regulation, Sales Practice Duties: Lead, manage and direct the overall operations of the Region's District Offices, including its core regulatory programs pursuant to guidelines... and requirements including leading and participating in national strategic and tactical initiatives. As a senior-level manager and officer, represent Member Regulation before various constituents internally and externally. Serve as a key member of... 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