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: 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: Associate General Counsel Job Responsibilities: The Associate General Counsel will provide guidance and counsel on a variety of legal matters within the organization. Responsibilities include: - Advising on day-to-day legal issues such as labor and employment, contracts, insurance, intellectual property, nonprofit corporate...
Title: Paralegal, Litigation Job Responsibilities: The Paralegal in the Litigation group within the department of the Chief Legal Officer is tasked with assisting in responding to information requests received by the organization, its officers, and its employees. This includes handling third-party subpoenas...
The following jobs are no longer active but were real openings previously posted by employers.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.
Counsel - Market Regulation, Legal The candidate will be responsible for participation in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department (Department) for violations of the Association's rules and the federal securities laws and provides legal advice... and counsel to the staff of the department. Under the direct supervision of the Chief Counsel, Litigation, or Assistant Chief Counsel, Quality of Markets to the Market Regu... 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Note: This job is no longer active.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 Counsel Duties: Will perform a variety of specific duties, generally including applying advanced analytical skills to provide legal interpretations regarding laws, rules, and regulations; drawing... up legal documents; and representing the organization in hearings and settlements. Assigned to handle intermediate to complex investigations from initiation through recommendation on disposition. This is senior-level professional work in which candidate is defining assig... 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
Investigator II, Corporate Financing The candidate will review member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. Conducts investigations of cases... which have been identified as potential areas of concern relating to private placements and other. Essential job functions: Conducts independent investigations of potential rule violations relating to corporate financing activities, including the review of private placement filin... 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 Counsel The candidate performs a variety of specific duties depending on the section to which assigned, generally including applying advanced analytical skills to provide legal interpretations regarding laws, rules, and regulations; drawing... up legal documents; and representing the organization in hearings and settlements. Will work in which incumbents are defining their assigned roles, increasing their skills, and working under general guidance. Essential functio... 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 Counsel The candidate will perform a variety of specific duties depending on the section to which assigned, generally including applying advanced analytical skills to provide legal interpretations regarding laws, rules, and regulations; draw... up legal documents; and represent the organization in hearings and settlements. Will plan for, participate in and demonstrate increased mastery of various tasks related to complex investigations pertaining to sales practice 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
Attorney II - Corporate Financing The candidate will perform a variety of specific duties, including applying advanced analytical skills in order to provide legal research and interpretations regarding laws, rules, and regulations, conducting... complex investigations related to private placements and other corporate financing activities, reviewing member compliance with the Organization and SEC rules, and drafting documents with legal analysis. Will plan for and participate in... 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
Counsel - Market Regulation, Legal Duties: The candidate will be responsible for participation in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department (Department) for violations of the Association's rules and the federal securities laws and provides legal advice... and counsel to the staff of the Department. Will advise and participate in examination and surveillance reviews and complex investigations conducted by the Departme... 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 Counsel The candidate will perform a variety of specific duties depending on the section to which assigned, generally including applying advanced analytical skills to provide legal interpretations regarding laws, rules, and regulations; drawing... up legal documents; and representing the organization in hearings and settlements. Will plan for, participate in and demonstrate increased mastery of various tasks related to complex investigations pertaining to sales prac... 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
Counsel - Market Regulation Duties: Will be responsible for participation in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department (Department) for violations of the Association's rules and the federal securities laws and provides legal advice... and counsel to the staff of the Department. Under the direct supervision of the Chief Counsel, Litigation, or Assistant Chief Counsel, Quality of Markets to the Market Regulation Depart... 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
Counsel II - Market Regulation, Legal Duties: Will handle participation in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department (Department) for violations of the Association’s rules and the federal securities laws and provides legal advice... and counsel to the staff of the Department. Under the direct supervision of the Chief Litigation Counsel of the Market Regulation Department, the attorney will engage in the following 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