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: 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: 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...
The following jobs are no longer active but were real openings previously posted by employers.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.
Review Analyst II The candidate will support the following regulatory-related programs as follows: Statutory Disqualification/ Membership Continuance, "Acceptance", Form U6 reporting to Web CRD and regulatory support functions such as the preparation of the disciplinary actions summaries for the monthly Regulatory Notices publication. Will review potential and actual statutory disqualification cases, including filings, court documents and correspondence referred b... 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Note: This job is no longer active.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 Enforcement Duties: Responsible for managing Enforcement outcomes and implementing priorities for the Enforcement department, ensuring maximum productivity and effectiveness with a large and complex caseload. Manages a team of attorneys and directors, who may be located in different offices, with a widely diverse docket of cases covering a number of subject matter areas. And his or her team are required to closely collaborate with investigati... 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
- Market Regulation Enforcement Duties: Resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly;. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case;. Identify poten... 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 Counsel, Market Manipulation The candidate works with the VP and Senior Directors in MMG to coordinate the development of cases to ensure consistency of approach within MMG. Advises MMG Management and Staff on the formulation and development of investigations, including on behalf of regulatory clients. Reviews and evaluates policies and rules from a strategic, legal and business perspective as to the impact on MMG. Provide guidance regarding potential policy... 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
- Market Regulation Enforcement Duties: Provide oversight, direction and active management to Enforcement attorneys to achieve timely and foreseeable high-quality Enforcement outcomes. Working closely with attorneys to assess how the record supports each charge in a matter, and whether the basis for each charge is foreseeable and clear based on existing rules, case law and guidance. Monitor case progress and continually assess whether additional staffing or other re... 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
Analyst - Registration and Disclosure Duties: Review potential and actual statutory disqualification cases, including filings, court documents and correspondence referred by all Regulatory Review & Disclosure (RR&D) staff. Performs additional research as needed. Review and analyze disclosure related filings that have been preliminarily approved by Disclosure Review analysts and perform “Acceptance” function. Perform liaison activities with RAD Legal & Policy, Member 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
- Market Regulation Enforcement Duties: Provide oversight, direction and active management to Enforcement attorneys to achieve timely and foreseeable high-quality Enforcement outcomes. Working closely with attorneys to assess how the record supports each charge in a matter, and whether the basis for each charge is foreseeable and clear based on existing rules, case law and guidance. Monitor case progress and continually assess whether additional staffing or other re... 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
SVP of Market Regulation Enforcement (“SVP-Market Reg”) supervises the specialized attorneys and managers who are dedicated to counseling Market Regulation staff and resolving disciplinary matters arising from surveillance and examinations by the Department of Market Regulation. The SVP-Market Reg provides senior level guidance on the appropriate resolution of Market Regulation matters, and facilitates an ongoing dialogue about decision-making to achieve ti... 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
Description Essential Job Functions: Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules. Represent FINRA in a first chair capacity in non-disciplinary hearings and litigation arising out... 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
(Omega) NYC (Brookfield Place) Apply The Appellate Director works under the Vice President, Litigation to manage and execute the Enforcement Department’s national appellate program. &n... 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