Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. - Advise the Board of Governors and advisory committees on complex and sensitive regulatory initiatives and rule changes. - Brief and communicate complex...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support for the complete life cycle of new regulatory initiatives, serving as a subject matter resource in specific areas of legal expertise. - Advise the Board of Governors and advisory...
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Reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities... laws. The Senior Analyst conducts investigations of cases which have been identified as potential areas of concern relating to private placements and other. This is intermediate-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision. Essentia... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Assistant Director, Regulatory Review & Disclosure. Responsible for day-to-day management and oversight of all Regulatory Review & Disclosure units that review and analyze all disclosure-related form filings and related correspondence/documents for... both individuals and firms that include new or updated disclosure information (U-4, U-5, U-6), all Form BD/BDW filings submitted by firms, and... Criminal History Record Information submitted by the Federal Bureau of Investigations (... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Disclosure Review Analyst. Will research and review individual, organization and Regulatory Uniform Form filings submitted to the CRD... System (Web CRD) to determine and ensure compliance with Web CRD filing requirements, as well as **Members Only** firms, other read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Vice President & Associate General Counsel, Capital Markets Policy FINRA is looking to fill the position of Vice President & Associate General Counsel, Capital Markets Policy. The incumbent will direct, manage, and supervise a team of attorneys that develops and implements capital markets policy initiatives, and counsels the Department of Market Regulation and Transparency Services. The position is responsible for managing the consistency and integrity of FINRA’s legal p... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Vice President & Associate General Counsel, Capital Markets Policy ## Overview The Vice President & Associate General Counsel, Capital Markets Policy directs, manages, and supervises a team of attorneys that develops and implements capital markets policy initiatives, and counsels the Department of Market Regulation and Transparency Services. This position is responsible for managing the consistency and integrity of an organization’s legal policy positions across the o... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Counsel Duties: Advise the Board of Governors and the Organization’s advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board. Assist in briefing and providing communication on complex and sensitive regulatory initiatives to senior executives of the Organization’s. Must be able to provide such analysis under urgent deadlines. Serve as legal resource within the Organization’s in one or more subject areas and provid... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Senior Risk & Compliance Analyst - Public Offerings Duties: Ensures underwriting compensation is adequately valued, within FINRA guidelines, and disclosed to investors. Verifies that conflicts of interest are prominently disclosed. Drafts comment and inquiry letters, communicates FINRA rules and policies, and reviews correspondence on issues related to public offering filings, investigations and spot checks.... Conducts independent investigations and develops cases related to p... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
General Counsel, Capital Markets Duties: Render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. Serve as subject-matter expert in areas relating to trading practices, market integrity and market structure in equities, options and fixed income, including order handling requirements, trade reporting and other tr... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Senior Analyst - Registration and Disclosure Duties: Review potential and actual statutory disqualification cases, including filings, court documents and correspondence... referred by all Regulatory Review & Disclosure (RR&D) staff. Performs additional research as needed. Review and analyze disclosure related filings that have been preliminarily... approved by Disclosure Review analysts and perform “Acceptance” function. Perform liaison activities with RAD Legal & Policy, Member R... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Analyst, Private Placement Duties: Conducts independent investigations of potential rule violations relating to corporate financing activities, including the review of private placement filings, received as a complaint... or inquiries from the public, members, district offices or other regulatory organizations. In conducting complaint or inquiry investigations, reviews materials, gathers additional facts, provides written comments, and summarizes the results into an investigati... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here