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Title: Assistant General Counsel, Regulatory - Full Time H1: Join... General Counsel in our Regulatory Group! H2: Purposeful Work with... an Assistant General Counsel, Regulatory Bold Headlines: - Work for a... Regulator with a Strong Moral Compass - Senior-Level Legal Role with FINRA as Assistant...
Summary Innovations for Poverty Action, an international non-profit, seeks a qualified applicant for the position of Legal Counsel. The successful candidate may work remotely in Connecticut, Washington. DC, or New York or in the Washington, DC office on a hybrid schedule....
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...
representing the Financial Industry Regulatory Authority (FINRA) in disciplinary... and non-disciplinary proceedings. They will also be responsible for briefing and arguing appeals before the National Adjudicatory Council (NAC). This role requires a minimum of 10 years of litigation experience, with...
Title: Assistant General Counsel, Regulatory - Full Time ... H1 Heading: Join FINRA as an Assistant General Counsel in our Regulatory Group H2 Headings:... - Purposeful Work at a Regulator - Render Senior-Level Legal - Assistant General Counsel, Regulatory...
of the Financial Industry Regulatory Authority, Inc. ... Sr Vice President, Corp Financing & Advertising Regulation - The Sr Vice President of Corporate Financing and Advertising Regulation is a key member of the Office of the Chief Legal...
Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location - This is a full-time senior leadership position within FINRA's Cyber and Analytics Unit (CAU). - The Senior Director leads the Cyber-Enabled Fraud (CEF) team responsible for overseeing cyber-enabled fraud...
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...