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Enforcement The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
role of a Director of Enforcement is a critical one within any organization, but even more so within a financial regulatory body like **MEMBERS ONLY**SIGN UP NOW***. As the leader of a team of attorneys, the Enforcement Director is responsible for managing a...
Counsel, Enforcement - Salary, Job Title, and Experience Information Job Title: Principal Counsel, Enforcement Organization: FINRA (Financial Industry Regulatory Authority) Experience: Minimum of seven years of relevant legal experience in the financial regulatory space or related areas....
abides by the requirements of 29 CFR 5134. This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities....
Litigation Counsel, Enforcement - Any FINRA Location Job Type: Full-Time Job Location: Various locations, including Washington, DC; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Woodbridge, NJ; San Francisco, CA; Rockville, MD; Philadelphia, PA;...
Risk Monitoring - Capital Markets - Any FINRA Location Full Time Posted 2 Days Ago Job Requisition ID: R-008111 The Organization is seeking a Director, Risk Monitoring to oversee the implementation and completion of the Risk...
General Counsel, Litigation The candidate performs a variety of specific duties, generally applying advanced analytical skills to provide effective legal representation to the organization's companies, officers and employees in connection with civil, criminal and administrative proceedings. Responsible for risk mitigation...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 The Senior Director within FINRA’s Special Investigations Unit (SIU) oversees the anti-money laundering (AML) and anti-fraud investigative functions, leading a team of highly skilled AML and...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
experience) Location: Staten Island, NY (hybrid remote work policy) Experience: 1+ years of experience in Social Security disability work and/or public... benefits law Education: . from an accredited law school and admission to practice in New York Department: Government Bene...