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Director, MRTS Regulatory Compliance The candidate will... manage key regulatory and compliance functions for... Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and...
Text: The Public Company Accounting Oversight Board (PCAOB) is currently seeking legal interns for Fall 2024. This part-time position offers a competitive hourly rate based on education level and qualifications, with the option to work remotely from anywhere within...
Friendly Job Title: Senior Litigation Counsel, Enforcement - Any FINRA Location H1 Heading: Join Our Team as a Senior Litigation Counsel at FINRA! H2 Headings: - Represent FINRA in Complex Litigation Cases - Provide Guidance and Advice on...
title: Assistant General Counsel, Regulatory - Full Time ... an Assistant General Counsel, Regulatory H2 heading: Senior-Level... an Assistant General Counsel, Regulatory - Senior-Level Legal Role... with Purpose and Meaning - Essential Job Functions - Education/Experience Requirements - Work...
is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any...
Enforcement The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
Enforcement The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
suspicious activities of persons associated with member firms; provides guidance to Member Supervision staff on their complex assignments, as well as consultative services to staff. Be an expert in identifying risks, developing regulatory strategies and executing those... examination strategies...
General Counsel, Litigation The candidate performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal representation to the organization's companies, officers and employees in connection with civil, criminal and administrative proceedings. Responsible for risk mitigation...
of the Financial Industry Regulatory Authority, Inc. ... Title: Sr Vice President, Corporate Financing & Advertising Regulation Job Requisition ID: R-007616 Organization: FINRA Location: Rockville, MD (Remote work option available) Time Type: Full...