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: Counsel, Discovery & Litigation Job Responsibilities: - Handle the docket of information requests received by the organization, including third-party subpoenas issued in arbitration proceedings, and civil and criminal litigation cases. - Exercise legal judgment under limited supervision to respond to information...
Title: Associate, HONORS Program-1 Job Responsibilities: The role of an Associate in the HONORS Program involves significant contributions to the Enforcement department's investigations and decisions regarding potential disciplinary actions against individuals and firms within the financial industry. This position offers entry-level associates...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the Member Supervision department of the organization. The role involves leading complex analytical projects to identify emerging market risks with minimal supervision. The responsibilities...
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: Associate General Counsel, Capital Markets Job Responsibilities: 1. **Regulatory Guidance and Advisory**: - Direct and manage the full lifecycle of adopting new regulatory requirements. - Advise the Board of Governors and senior management on complex and sensitive regulatory initiatives and rule...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in contributing to the investigations and decisions regarding disciplinary actions against individuals and organizations in the financial industry. This entry-level position provides associates with substantive...