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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...
Associate General Counsel, Broker-Dealer/Investment Advisor Group ## Overview Organization is looking for an Associate General Counsel to work in the Broker-Dealer/Investment Adviser Group. The position is primarily responsible for working with the Vice President, Broker-Dealer/Investment Adviser Group, to develop...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Range: $49,961 - $89,726 Benefits: List of benefits Posting Date: October 04, 2023 Organization is looking for a Legal Office Assistant to join the Office of the General Counsel. This position is located in...
an SEO-friendly job title, we suggest "Senior Assistant General Counsel, Regulatory - FINRA" H1 Heading: Join FINRA as a Senior Assistant General Counsel, Regulatory H2 Heading: Make a Difference in Investor Protection and Market Integrity...
Range: $49,961 - $89,726 Benefits: List of benefits Posting Date: October 04, 2023 # Job Title: Legal Office Assistant ## Organization: Office of the General Counsel ## Location: Washington, . ##...
Analyst, Public Offerings The candidate analyzes complex and high-profile public offering transactions. Reviews and investigates proposed public offering underwriting arrangements to ensure compliance with the organization and SEC rules as well as... other securities laws. Ensures underwriting compensation is adequately...
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...
2024 Legal Intern – Protect Investors and Drive Audit Quality at PCAOB Job Title: Fall 2024 Legal Intern Salary: Competitive hourly rate based on education level and qualifications Experience: Law student currently enrolled in an accredited law...
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...