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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...
2024 Legal Intern: Join a Nonprofit Organization Protecting Global Investors H1: Fall 2024 Legal Intern - Make a Difference in Investor Protection with the PCAOB H2: Join Us and Gain Experience in Legal Research and Writing Organization Description:...
and litigate nationwide non-disciplinary and disciplinary proceedings. The role also involves briefing and arguing appeals before the National Adjudicatory Council. The ideal candidate will have a law degree, admission to the... bar, and a minimum of 10 years of li...
H1: Assistant General Counsel, Regulatory - Full Time H2:... Title: Assistant General Counsel, Regulatory Employment Type: Full Time... (based on location and qualifications) Overview: FINRA (Financial Industry Regulatory Authority) is a not-for-profit... entity operating under the oversight of...
Job Title: Associate Corporate & Compliance Counsel Experience: 4-5 years of experience in general corporate law, contract law, administrative law,... and compliance law. ... Organization: A Government Entity Location: Chicago, IL Full-time/Part-time: Full-time Salary: Competitive...
Senior Director, Cyber-Enabled Fraud and Analytics will be responsible for overseeing investigations and examinations related to cyber-enabled fraud within FINRA member firms. They will also lead a team of highly skilled cyber, fraud, and analytics specialists and develop a data...
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...