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, HONORS Program Job Responsibilities: The Associate in the Honors Program at the organization plays a crucial role in contributing to Enforcement’s investigations and determining whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates engage...
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: 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...
The following jobs are no longer active but were real openings previously posted by employers.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.
Corporate And Regulatory Affairs Responsibilities: Serve as a primary resource for the interpretation of contractual obligations, benefits and remedies and regulatory compliance. All contracting includes development of electronic database, and administrative management of contract flow. Assist the General Counsel and Assistant General Counsel on major transactions, including mergers, acquisitions, affiliations and joint ventures, serving as a resource for the managem... 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Note: This job is no longer active.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
Senior Director, Market Regulation Operations/Services The candidate will... provide leadership and direction to the timely preparation and approval of FINRA and RSA ROC reports. Evaluates the impact of changes to relevant rules and regulations enforced by Market Regulation have on Market Regulation’s... strategy and, where appropriate, recommends approaches consistent with Market Regulation strategies and applicable legal... and regulatory requirements. Responsible for the developme... 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 Center Duties: Responsible for ensuring that Enforcement attorneys conduct thorough and thoughtful factual and legal analysis to achieve optimal outcomes in every Enforcement matter. Manages a team of attorneys, who may be located in different locations, handling a diverse docket of cases covering a number of subject matter areas. Works closely with his or her team to achieve high-quality legal work, including monitoring investigations to ensure they ar... 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 The candidate will manage a team of 5-8 enforcement attorneys developing and resolving enforcement cases through all stages, from inception to completion. Will be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. Monitor the aging and progress of cases to ensure that matters are... 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
Principal Advisor & Counsel, Trading & Execution Duties: Provides operational support to the SVP, T&E in the administration of the T&E Department. Works closely with the SVP and the Department’s senior leadership team in achieving departmental goals, as well as developing, coordinating, and implementing individual and cross-T&E group initiatives/strategies related to T&E’s examination, risk monitoring, investigative, and reporting responsibilities. Works with the SVP,... 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, Regulatory The candidate will render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. Will provide interpretative advice to the Board of Governors and advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board. Assist in briefing and communicating regulatory initiat... 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, Regulatory The candidate will render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. Will provide interpretative advice to the Board of Governors and advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board. Assist in briefing and communicating regulatory initiat... 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 The candidate will render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. Will provide interpretative advice to the Board of Governors and advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board. Assist in briefing and providing communication on complex and sens... 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
Senior Principal Advisor and Counsel, Market Regulation - Market Manipulations The... candidate will assist the Senior Vice President, Market Manipulations (SVP) in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert interpretative guidance on regulatory matters for the Department, work in partnership with the Enforcement Department on complex/high-profile investigations, and represent the SVP and th... 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
Senior Director, Equity Best Execution The candidate will serve as the Chief Counsel to the Market Regulation Department with responsibility for... all legal and regulation policy issues relating to... futures. Will represent the Department in dealings with high-level representatives of industry, government agencies, other regulatory agencies, and committees. Work to implement rules, regulations, and enforcement policies for the Life Markets (NQLX). Represent the Department with r... 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