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...
Title In-House Employment/HR Lawyer Job Responsibilities The In-House Employment/HR Lawyer at the organization is tasked with providing comprehensive legal counsel on all employment-related matters within the organization. Key responsibilities include: - Offering legal advice to management on employment laws, regulations, and best practices to...
The following jobs are no longer active but were real openings previously posted by employers.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.
Enforcement Duties: Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy; Execute an effective risk-based legal strategy to assess the record fairly; Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case; Identify potential risks, defenses, individual liability and Principal Considerations; Effectively negotiate settlements, demonstrating knowledge 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Note: This job is no longer active.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
Counsel, Enforcement The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Identify potenti... 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, Regulatory The candidate will advise... the Board of Governors and FINRA advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes... under consideration by the Board. Brief and communicate complex and sensitive regulatory initiatives to senior executives... 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
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
Description Legal Graduate Intern - Enforcement - Boca Raton, FL( Job Number: 000582) Description We Work to Protect Investors. Join our Team. 2011 Summer Internship Program 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
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
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
Regional Counsel, Enforcement Duties: Plan and conduct intermediate-in-scope sales practice investigations of broker-dealers and associated persons, including conducting on-the-record interviews. Prepare detailed memoranda summarizing investigative findings and applicable case law. Draft complaints, decisions and... memoranda of law. Participate in the litigation... of disciplinary actions. Counsel district examination staff on investigations and legal issues. Review completed exa... 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