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...
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 concerning the full life cycle of new regulatory initiatives. - Serve as a subject matter resource in specific areas of legal expertise. - Advise the Board of Governors and advisory...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the HONORS Program at the organization plays a crucial role in contributing to the Enforcement's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level position involves...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the StratIntel mission within the organization’s Member Supervision department. The responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated frameworks...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) is tasked with supporting the External Strategic Engagements leadership team in all facets of the group's responsibilities. This includes representing the...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interacting with internal and external...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks with minimal supervision, particularly focusing on complex or elevated risk...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting interactions with internal and external parties. - Handle complex or elevated risk...
Title: Senior Director, Office of Chief of Staff, OCLO Job Responsibilities: - Oversee or lead cross-functional initiatives and special projects to advance strategic priorities in support of organizational objectives. This includes establishing project scope and timelines, defining measures of success, and managing...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy serves as the Chief Privacy Officer (CPO) of the organization, leading the Enterprise Data Privacy Office and overseeing the privacy function of the organization. The...
Title: Principal 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, supporting both direct manager and interactions with internal and...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the StratIntel mission within the organization's Member Supervision department. The key responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as the strategic leader for the Firm Grouping, setting a multi-year strategic plan and managing priorities aligned with Member Supervision goals and vision. - Collaborate with cross-functional partners...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is a key professional role within the Strategic Intelligence & Analytics (StratIntel) organization, which is part of the organization's Member Supervision department. This position focuses on the collection, analysis, processing,...
Title: Senior Program Administrator, OGC Regulation Job Responsibilities: The Senior Program Administrator at the organization serves as a pivotal support role within the Office of General Counsel (OGC), specifically aiding the Regulatory Policy, Capital Markets, and Appellate offices. This position is essential...
Title: Senior Program Administrator, OGC Regulation Job Responsibilities: The Senior Program Administrator in the Office of General Counsel (OGC) at the organization plays a crucial role in maintaining and enhancing the operational efficiency of the office. Responsibilities include: - Providing high-quality administrative support...
Title: Counsel, Discovery & Litigation Job Responsibilities: - Handle the docket of information requests received by the organization, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. - Exercise legal judgment under limited supervision to respond to information...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support concerning the life cycle of new regulatory initiatives. - Advise the Board of Governors and organization advisory committees on complex regulatory initiatives and rule changes. - Brief and communicate complex...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. - Serve as a subject matter expert in one or more areas of legal expertise. - Advise the Board of Governors and advisory...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the life cycle of new regulatory initiatives. - Serve as a subject matter resource in specific areas of legal expertise. - Advise the Board of Governors and advisory committees...
Title: Paralegal, Litigation Job Responsibilities: The Paralegal in the Litigation group within the department of the Chief Legal Officer is tasked with assisting in the response to information requests received by the organization, its officers, and its employees. This includes handling third-party...
Title: Associate, HONORS Program-1 Job Responsibilities: The role of an Associate in the HONORS Program involves significant contributions to the Enforcement department's investigations and decisions regarding potential disciplinary actions against individuals and firms within the financial industry. This position offers entry-level associates...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a critical role within the StratIntel division of the organization's Member Supervision department. The responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated frameworks...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - The Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - This senior-level position supports the Risk Monitoring Director in...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagement (OSE) within the department of Member Supervision is tasked with supporting the leadership team in various high-visibility external engagements and publications. The...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting interactions with internal and external parties. - Perform risk monitoring...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and in interactions with internal and...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Perform risk...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the organization's Member Supervision department. The primary responsibilities include leading complex analytical projects to identify emerging market risks with minimal supervision, developing sophisticated frameworks...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. Develop strategic plans aligned with Member Supervision goals...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is responsible for executing functions in support of the Strategic Intelligence & Analytics (StratIntel) mission within the organization’s Member Supervision department. This includes: - Partnering across the organization and externally on...
Title: Assistant General Counsel Job Responsibilities: Legal Counsel - Provide day-to-day legal advice on employment and benefits issues, intellectual property, contract interpretation, data and information security, and general risk management. - Serve as a trusted internal resource for attorneys, managers, and staff navigating legal...
Title: Assistant Special Counsel, Office of Hearing Officers Job Responsibilities: The Assistant Special Counsel in the Office of Hearing Officers is a senior-level legal position responsible for providing effective legal support to Hearing Officers in connection with the adjudication of disciplinary proceedings....
Title: Counsel, Discovery & Litigation Job Responsibilities: - Handle the docket of information requests received by the organization, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. - Exercise legal judgment under limited supervision to respond to information requests,...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the entire lifecycle of adopting new regulatory initiatives. - Serve as a subject matter expert in one or more areas of legal expertise, providing guidance under general supervision. -...
Title: Associate General Counsel, Capital Markets Job Responsibilities: 1. **Regulatory Guidance and Advisory**: - Direct and manage the full lifecycle of adopting new regulatory requirements. - Advise the Board of Governors and senior management on complex and sensitive regulatory initiatives and rule...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the life cycle of new regulatory initiatives, serving as a subject matter resource in various areas of legal expertise. - Advise the Board of Governors and advisory committees...
Title: Assistant General Counsel, Regulatory Job Responsibilities: The Assistant General Counsel, Regulatory, is responsible for providing senior-level legal advice and support throughout the lifecycle of new regulatory initiatives and serving as a subject matter expert in one or more areas of legal...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in contributing to the investigations and decisions regarding disciplinary actions against individuals and organizations in the financial industry. This entry-level position provides associates with substantive...
Title: Spring 2026 Liberty and National Security Legal Internship Job Responsibilities: The Spring 2026 Liberty and National Security Legal Internship involves working with the department at the organization on various policy advocacy, research, and litigation initiatives. Key responsibilities include: - Conducting legal...
Title: Intern, Public Benefits Law Unit (Summer) Job Responsibilities: - Performing legal and factual research for unit attorneys - Writing briefs, client correspondence, and third-party letters/statements, and other forms of legal writing - Calling local government offices with clients to...
ANNOUNCEMENT SUMMER 2026 JOB TITLE Legal Intern JOB RESPONSIBILITIES The **Members Only** of the District of Columbia is offering up to seven legal internship positions for Summer 2026. The internships available include: - Two positions in the Housing Law Unit. Interns are expected to begin...
Title: Legal Intern Job Responsibilities: - Assist supervising attorneys in various units through all stages of the litigation process, including client interviews, drafting complaints and motions, filing and responding to discovery, and preparing for hearings and trials. - Provide assistance in the brief...
ANNOUNCEMENT SUMMER 2026 Job Title Legal Intern Job Responsibilities Interns at the organization will have the opportunity to work in various units, each with distinct responsibilities: - Family Law Unit and Housing Law Unit interns will support supervising attorneys throughout...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the StratIntel mission within the organization's Member Supervision department. This role is responsible for: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing...
TITLE Economic Security Unit Managing Attorney JOB RESPONSIBILITIES Management - Supervise all supervising and staff attorneys practicing within the Economic Security Unit (ESU), and any staff attorneys working on cases within the ESU practice areas to ensure high-quality delivery of...