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Accounting Intern - Spring 2024
The Public Company Accounting Oversight Board (PCAOB) is a nonprofit organization established by Congress to oversee the audits of public companies and SEC-registered brokers and dealers to protect investors and to further the public interest...
Legal Intern – Spring 2024
The Public Company Accounting Oversight Board (PCAOB) is looking for a motivated and talented Legal Intern to join us for the Spring 2024 semester. This position offers an opportunity to make a difference in...
Staff Attorney – Immigrant Children’s Protection Project
## Program Description
The **MEMBERS ONLY**SIGN UP NOW***. ( NIJC), a program of Heartland Alliance, provides direct legal services to, and advocates for, immigrants, refugees, and asylum seekers through policy reform,...
and financial crimes. Develops and supervises specialists regulatory programs and work products related to the routine and special examinations/investigations and other reviews... related to finances, policies, procedures, practices, and products offered by member firms and their associated persons. Supervises special...
Title: Staff Attorney, Immigrant Legal Defense Project
Organization: **MEMBERS ONLY**SIGN UP NOW***.
Salary Range: $60,815-$69,112
Location: Chicago - Loop
The **MEMBERS ONLY**SIGN UP NOW***. (NIJC), a program of Heartland Alliance, is seeking a...
Principal Investigator, NCP
FINRA’s National Cause Program (NCP) is looking for an Associate Principal Investigator to join their team and help them investigate potential fraud or other serious misconduct from various sources. This position will be responsible for conducting...
General Counsel, Regulatory
The candidate will direct and manage the complete life cycle of the adoption of new regulatory requirements. Provide expert knowledge to the Board of Governors and senior management, advising them on high-impact, legally and politically complex and...
The candidate leads teams of Enforcement directors and the attorneys who report to them, to manage Enforcement cases through all stages from inception to completion. Achieves consistent and foreseeable Enforcement outcomes, including by identifying interpretive issues and collaborating with...
General Counsel, Broker-Dealer/Investment Advisor Group
The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Investigator (FinOp), NCP
The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal...
Principal Analyst, Risk Monitoring
The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Report to a Risk Monitoring Director and support both that direct manager in identifying existing and emerging...
is committed to hiring and retaining a diverse workforce. We are proud to be an Equal Opportunity/Affirmative Action Employer, making decisions without regard to race, color, religion, creed, sex, sexual orientation, gender identity, marital status, national origin, age, veteran status,...