Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk... monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Monitor complex or elevated...
Job Title: Vice President, Capital Markets, Fixed Income, and... operations and execution for Capital Markets, Fixed Income Specialist,... and Compliance teams, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned with Member Supervision goals and...
The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.
Engagement Associate Duties: Oversee the recruitment of hospitals, private practice groups, and/or ambulatory surgery centers (ASC) for Registry Program participation. Will be the primary contact for Registry Program communication with hospital/ASC staff for their vertical market. Recruitment of participation sites (hospitals, ASCs, and practice groups). Develops and maintains relationships with a network of participating data collection sites. Assists with recruitm... 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Note: This job is no longer active.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
Enforcement The candidate will manage a team of 5-8 enforcement attorneys developing and resolving enforcement cases through all stages, from inception to completion. Will be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Monitor the aging and progress of cases to ensure that matters are... 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
Associate General Counsel, Capital Markets Duties: Advise the... Board of Governors and advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the Board. Brief and communicate complex and sensitive regulatory initiatives to senior executives. Must be able to provide such analysis under urgent deadlines. Serve as the key source of legal expertise within in one or more subject a... 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
Associate Investigator - OFDMI - Insider Trading - ORSA The candidate will conduct routine review and investigations of unusual market activity for evidence of potential insider trading in options and for possible violations of relevant FINRA rules and the federal securities laws. The position involves... professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Duties: Analyze trading activit... 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
Attorney, Market Regulation Enforcement - CBOE Duties: Plan for an participate in various tasks related to investigations pertaining to trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof. Researches and interprets rules, regulations, statutes, and decisions of regulatory and quasi-Judicial bodies. Advises Enforcement Director regarding laws, rules and regulations. Examines and analyzes d... 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
Director, Market Regulation, TFCE Options Duties: Coordinate annual schedules of examinations with other members of TMMS management and fairly allocate these examinations with other TMMS Supervisors. For allocated examinations, plan and coordinate schedules to ensure all examinations are conducted as required. Manage the overall work process of TMMS examiner teams. Assign examinations and other tasks to examiners in order to achieve departmental objectives and appr... 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
Director, Market Regulation, TFCE Options Duties: Coordinate annual schedules of examinations with other members of TMMS management and fairly allocate these examinations with other TMMS Supervisors. For allocated examinations, plan and coordinate schedules to ensure all examinations are conducted as required. Manage the overall work process of TMMS examiner teams. Assign examinations and other tasks to examiners in order to achieve departmental objectives and appr... 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
Associate Investigator The candidate will be responsible to analyze trading activity in options for indications of potential insider trading. Conduct routine reviews and investigations of possible violations of firm rules and the federal securities laws. Conduct telephone interviews,... including assisting with on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Gather evidence through... 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
Associate Investigator - Office of Fraud Detection and Market Intelligence (OFDMI), ORSA Duties: Analyze trading activity in options for indications of potential insider trading. Conduct routine reviews and investigations of possible violations of rules and the federal securities laws. Conduct telephone interviews,... including assisting with on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative... 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
Director, Market Regulation Operations/Services The candidate will provide leadership and direction to the timely preparation and approval of FINRA and RSA ROC reports. Evaluates the impact of changes to relevant rules and regulations enforced by Market Regulation have on Market Regulation’s strategy and, where appropriate, recommends approaches consistent with Market Regulation strategies and applicable legal and regulatory requirements. Responsible for the developme... 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