Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the entire life cycle of new regulatory initiatives. - Act as a subject matter resource in one or more areas of legal expertise. - Advise the Board of Governors...
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. Key responsibilities include advising the Board of Governors and advisory committees on complex and...
Title: Associate General Counsel Job Responsibilities: - Provide guidance and counsel to internal stakeholders on a range of legal matters, including general operations, nonprofit governance, contracts, fundraising, labor and employment, litigation, intellectual property, tax, data privacy, cybersecurity, and lobbying. - Advise on day-to-day...
Title: Assistant General Counsel, Legal Job Responsibilities: - Review, draft, and negotiate client and vendor contracts, RFPs, NDAs, DPAs, consulting agreements, and other commercial agreements related to the company's services. - Work closely with client service teams to resolve legal issues concerning commercial...
Title:** Principal Intelligence Specialist **Job Responsibilities:** The Principal Intelligence Specialist is integral to the StratIntel mission within the organization's Member Supervision department. The role involves: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated frameworks to evaluate high-impact...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert level position within the Strategic Intelligence & Analytics (StratIntel) organization, part of the Member Supervision department. The role involves the collection, analysis, processing, and dissemination of...
Title: Principal Analyst, Risk Monitoring - Retail 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. - Conduct risk monitoring...
Title Summer 2026 Legal Intern, National Security Project Job Responsibilities The Legal Intern will support the National Security Project's legal and advocacy work throughout the summer. Key responsibilities include: - Conducting legal and policy research. - Drafting memoranda, affidavits, and...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Strategic leadership for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Develop and manage a multi-year strategic plan aligning with...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a significant role in the StratIntel mission within the organization’s Member Supervision department. Their primary responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization, which is part of the Member Supervision department. The primary responsibilities of this position include: - Leading complex analytical projects to identify...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level professional role within the **Members Only** program of the organization. This position is integral to supporting the mission of investor protection and market integrity by engaging in...
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, and interact with internal and external parties. - Conduct risk monitoring activities for...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and support interactions with internal and external parties. - Engage in...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers, setting a multi-year strategic plan and managing priorities to align with Member...