Title: Associate, HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in the investigations and decisions regarding whether to bring disciplinary actions against individuals and firms in the financial industry. This entry-level position provides substantive hands-on...
The following jobs are no longer active but were real openings previously posted by employers.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.
General Counsel Duties: Under the direction of the General Counsel, provides corporate legal advice and review, research and analysis on wide variety of topics. With the General Counsel, administers the Professional Compliance Program. Provides counsel for corporate legal matters. Reviews department contracts, manages the electronic contract management system and trains staff on its use. Provide legal oversight and review for in-house corporate legal matters, inclu... 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Note: This job is no longer active.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
of Corporate Compliance and Privacy The candidate will responsible for implementing and managing an organization wide compliance program consistent with the Department of Health and Human Services Office of Inspector General’s (OIG’s) guidance for effective compliance programs, coordinating and communicating key program elements to NCH employees and management, working closely and within the NCH Enterprise Risk framework with Internal Audit, as well as NCH leade... 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Note: This job is no longer active.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
Manager - Market Regulation, Trading & Financial Compliance... Examinations (TFCE) Equities Duties: Managing an assigned group of Compliance Examiners to ensure that required TFCE examinations are scheduled, executed and completed in timely manner that will achieve Departmental, FINRA and SEC requirements. Provide Market Regulation management with information regarding... the achievement of required goals, new developments and obstacles to achieving goals. Hiring and directing t... 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
Legal Counsel - Market Regulation 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 Department pertai... 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
President, Corporate Counsel The candidate will be reporting to the General Counsel. Will advise business partners on the legal, compliance, regulatory and litigation risks of possible business decisions, providing preventive counseling with respect to the underlying business practices and goals. Exhibit a practical, solution-driven, business-based approach to problem solving and exceptional interpersonal skills that facilitate prompt, constructive solutions for busines... 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
Midwest Regional Director - Member Regulation, Sales Practice The candidate... will lead and/or participate in regional or national tactical initiatives as requested by Member Regulation senior management. Will serve... as a key member of the regional management team in Member Regulation-Sales Practice by providing strategic... and tactical advice on how to achieve department and regional goals and successfully implement regulatory programs. Develop and support the effectiveness of t... 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
Graduate/Undergraduate Intern Market Regulation The Intern will... work with a team of Regulatory Analysts to assist in the regulation of trading activity on... most . equity exchanges. Will include: learning how to analyze trading activity for indications of potential violations of relevant rules and regulations; conducting investigations into possible violations; researching relevant rule applicability to potential violations; and drafting relevant documents, such as referr... 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 support firm's philosophy of patient centered care by ensuring compliance with federal, state, and local laws and regulations. Will identifies opportunities for compliance improvement, addresses compliance concerns and risks, and develops educational programs and internal controls to build a stronger culture of compliance within the firm Corporations. Assist the Senior Legal Counsel in managing the firm Hotline and conducting investigations o... 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 - (Contractor) - Market Regulation, Legal The candidate will... have 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 Department pert... 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