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Join the PCAOB as a Fall 2024 Legal Intern and Make a Difference in Global Investor Protection! H2: Work with a Diverse Team of Professionals and Gain Hands-On Experience in Audit Quality and Innovation. The PCAOB, a nonprofit...
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...
Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location Full time Posted Yesterday Job Requisition ID: R-007655 The Senior Director of the Cyber and Analytics Unit (CAU) at FINRA oversees the Cyber-Enabled Fraud (CEF) team and...
position of Assistant General Counsel, Regulatory at FINRA is an exciting opportunity for those seeking a meaningful and impactful legal career in the financial industry. As a not-for-profit organization, FINRA's mission is investor protection and market integrity. This role in...
Principal Investigator, Specialist Team The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; provides guidance to Member Supervision staff on their complex assignments, as well...
Investigator, NCP - IRG The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify...
Investigator, FINOP-NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and...
Investigator, NCP The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify the regulatory...
Investigator, NCP The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify the regulatory...