Managing Counsel & Deputy Compliance Officer Job Responsibilities: The Managing Counsel... & Deputy Compliance Officer is a critical... closely with the Chief Compliance Officer and broader legal... on various legal and compliance matters for the organization,... which is responsible for organizing the...
Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the... Fixed Income Specialist, and Compliance teams, comprising over 120... and manage priorities aligned with Member Supervision goals and vision. - Collaborate closely with cross-functional partners and integrate Examination efforts with Regulatory Operations....
Title: Managing Attorney – Veterans Justice Project Workgroup Job Responsibilities: The Managing Attorney for the Veterans Justice Project Workgroup is responsible for overseeing and administering a team that includes approximately three attorneys and one paralegal within the Veterans Justice Center. The focus...
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 interact with internal and external...
Title: Senior Counsel Job Responsibilities: As a Senior Counsel at the organization, you will play a pivotal role in leading and engaging in impact litigation, public policy advocacy, and education to further the organization's mission. The responsibilities encompass: - Public Policy: You will...
eligibility, and determine whether to represent or refer clients as needed. - Maintain a caseload of business-related legal matters, including business formation, document drafting (such as contracts, bylaws, operating agreements), business financing, intellectual property protection, and regulatory compliance, under the s......
represent or refer clients as needed. - Maintain a case load of matters requiring legal expertise on business-related issues including business formation, document drafting (contracts, bylaws, operating agreements, etc.), financing for businesses, IP protection, and regulatory compliance under the supervision......
legal documents and the management of special projects. - Conduct legal research using industry-standard online databases, in-house law library, and other resources as requested, including monitoring litigation and regulatory and agency action; prepare... recommendations, analyses, and summaries of findings. - Organize, revi...
to prelitigation or litigation demands. - Work with internal stakeholders to identify and remediate vulnerabilities. - Offer advice and counsel to minimize organizational legal risk and ensure compliance with evolving laws and... regulations. - Communicate proactive, solution-oriented advice on a variety of legal...
Title: Directing Attorney - Workers' Rights & Economic Justice Job Responsibilities: The Directing Attorney will lead and manage the Employment Rights Project (ERP), a crucial component of the organization's economic justice strategy. Key responsibilities include: - Supervising and managing substantive legal work performed...
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, aimed at enhancing investor protection and market integrity. The key responsibilities include: - Leading complex analytical projects to identify...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) within the department is charged with supporting the External Strategic Engagements leadership team in fulfilling their responsibilities. This includes representing the...
Title: Senior Counsel Job Responsibilities: - Lead and engage in impact litigation, public policy advocacy, and education to further the organization's mission. - Cultivate relationships with key coalition partners and allied organizations. - Participate in legal conferences, continuing legal education programs, and public education...
Title: Senior Counsel Department: Legal Job Responsibilities: The Senior Counsel at the organization is responsible for leading and engaging in cutting-edge impact litigation, public policy advocacy, and education to further the organization's mission. They work both independently and collaboratively to support the organization's...
oceans-related federal litigation and regulatory advocacy. The responsibilities include... representing the organization in litigation activities such as legal research, analysis, briefing, and oral arguments. The attorney will collaborate with other attorneys in the Litigation Program and Oceans team on litigation...
Title: 2026 Summer Intern - Community Development Project Job Responsibilities: The 2026 Summer Intern for the Community Development Project (CDP) at the organization will be involved in a variety of tasks that provide hands-on experience in direct legal services, policy advocacy, and...
of the Examinations Program for the Firm Group, ensuring alignment with Member Supervision goals and vision. - Collaborate with cross-functional partners and Regulatory Operations to integrate examination... efforts effectively. - Oversee the Examination Program, ensuring timely and effective examinations tailored to addre...
Title: Counsel II, Real Estate Job Responsibilities: - Provides counsel and advice on a wide range of transactional real estate health care-related matters, including leases, licenses, estoppel certificates, SDNAs, easements, and other related documents. - Assesses legal risk impacting business and/or clinical operations...
Title: Associate General Counsel Job Responsibilities: - Provide in-house legal support on tax exemption issues for both the organization and its Action Fund, as well as election law matters specifically for the Action Fund. - Conduct staff legal training on lobbying, gifts/ethics, tax...