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Chicago Finance Attorney Jobs in Public Interest

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Location
Chicago, IL
Principal Compliance Analyst - Market Regulation The candidate will act as liaison to and actively support department- and department section heads in the completion of time-sensitive special projects. Represent Market Regulation in specific task-forces and initiatives, and may represent the company in interactions with exchange clients and member firm personnel on regulatory issues. Assist with or oversee the timely and accurate preparation of management and exchange clie...
Location
Chicago, IL
Staff Attorney- Detention Project Duties: Provides legal representation and immigration service counseling to immigrants and refugees appearing before the U.S. Citizenship & Immigration Services (USCIS). Advocates for clients before other government administrative agencies and before other service agencies, as needed and/or as appropriate. Conducts preliminary intake interview, gathers all relevant facts for presentation at Unit meetings. Makes assessment of income eligibi...
Company
FINRA.  
Location
Chicago, IL
Associate Regional Director - Dispute Resolution The candidate will perform a variety of specific duties, primarily managing a staff of case administrators. Other duties include applying analytical skills to assist with providing interpretations regarding rules and regulations. This is high-level professional work in which the incumbents are fulfilling their assigned roles, applying their job skills and working under minimal supervision. Supervise and train Case Administra...
Location
Chicago, IL
Associate Investigator - OFDMI - Insider Trading - ORSA Duties: Investigator conducts routine review and investigations of unusual market activity for evidence of potential insider trading in options and for possible violations of relevant FINRA rules and the federal securities laws. Professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Analyze trading activity in options for indicati...
Location
Chicago, IL
Executive Director - Legal Aid The candidate will direct the operations of the legal services program of the firm, collaborating as appropriate with the firm's administrative departments. Will serve as the public face of LAS carrying out a leadership role in local, state and national networks of legal aid, client and social services communities. Provide leadership and structural support for staff to deliver high quality work of maximum impact for clients. Work with the LAS...
Company
FINRA.  
Location
Chicago, IL
Investigator - OFDMI - Insider Trading ORSA The candidate will analyze trading activity in options for indications of potential insider trading. Conduct routine reviews and investigations of possible violations of rules and the federal securities laws. Conduct telephone interviews, including assisting with on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Gather evidence through ...
Company
FINRA.  
Location
Chicago, IL
Senior Vice President and Chief of Staff, Member Supervision The candidate: Leads a variety of cross-functional initiatives, in the advancement of the strategic direction of Member Supervision in support of firm’s organizational goals. This includes building and/or identifying teams to work through the completion of large, high profile projects, in addition to owning the scope, identifying measures of success, and managing the team(s) through successful completion o...
Company
FINRA.  
Location
Chicago, IL
Associate Investigator Duties: Analyze trading activity in options for indications of potential insider trading. Conduct routine reviews and investigations of possible violations of rules and the federal securities laws. Conduct telephone interviews, including assisting with on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Gather evidence through timely, well-written requests fo...
Company
FINRA.  
Location
Chicago, IL
Associate Investigator - OFDMI - Insider Trading ORSA Duties: Analyze trading activity in options for indications of potential insider trading. Conduct routine reviews and investigations of possible violations of Authority rules and the federal securities laws. Conduct telephone interviews, including assisting with on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Gather evidence...
Company
FINRA.  
Location
Chicago, IL
Associate Investigator The candidate will be responsible to analyze trading activity in options for indications of potential insider trading. Conduct routine reviews and investigations of possible violations of firm rules and the federal securities laws. Conduct telephone interviews, including assisting with on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Gather evidence throug...
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