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Chicago Corporate Securities And Capital Markets Attorney Jobs in Public Interest

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Job info
Company
Public Interest
Experience
Min 7 yrs required
Location
Chicago, IL
Posted Date
Sep 06, 2021
Info Source
Employer
Total Views
5
Director, 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 a... read more
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Location
Chicago, IL
Assistant Corporate Counsel Responsibilities: Provide ongoing legal support to programs and departments, including support for substantive programmatic and communications work and support for administrative functions (accounting and finance, facilities, human resources, development and IT). Draft, review and negotiate institutional contracts. Advise programs/departments on contract compliance and dispute resolution issues. Assist with the management of corporate and board ...
Location
Chicago, IL
Associate Investigator - OFDMI - Insider Trading - ORSA The candidate will conduct 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. The position involves professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Duties: Analyze trading activ...
Location
Chicago, IL
Associate General Counsel Duties: Consults with, advises, and provides legal services to the Council (board of directors), churchwide offices and units in all legal matters related to this church’s ministry and work. Prepares and/or oversees the preparation of filings with governmental agencies and maintains the Group Ruling with the Internal Revenue Service. Prepares and/or oversees the preparation of legal/quasi-legal documents for offices and units (e.g., contrac...
Company
FINRA.  
Location
Chicago, IL
Senior Attorney, Market Regulation Enforcement - CBOE Duties: Plan for an participate in various tasks related to investigations pertaining to trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof. Researches and interprets rules, regulations, statutes, and decisions of regulatory and quasi-Judicial bodies. Advises Enforcement Director regarding laws, rules and regulations. Examines and analyzes...
Company
FINRA.  
Location
Chicago, IL
Assistant Director, Market Regulation, TFCE Options Duties: Coordinate annual schedules of examinations with other members of TMMS management and fairly allocate these examinations with other TMMS Supervisors. For allocated examinations, plan and coordinate schedules to ensure all examinations are conducted as required. Manage the overall work process of TMMS examiner teams. Assign examinations and other tasks to examiners in order to achieve departmental objectives and ap...
Company
FINRA.  
Location
Chicago, IL
Associate Director, Market Regulation, TFCE Options Duties: Coordinate annual schedules of examinations with other members of TMMS management and fairly allocate these examinations with other TMMS Supervisors. For allocated examinations, plan and coordinate schedules to ensure all examinations are conducted as required. Manage the overall work process of TMMS examiner teams. Assign examinations and other tasks to examiners in order to achieve departmental objectives and ap...
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...
Company
FINRA.  
Location
Chicago, IL
Associate Investigator - Office of Fraud Detection and Market Intelligence (OFDMI), ORSA 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 investigativ...
Company
FINRA.  
Location
Chicago, IL
Principal Counsel - Statutory Disqualification The candidate will actively support the execution of organization's Statutory Disqualification Program by researching, preparing documents and providing recommendations on matters handled by Member Supervision's Statutory Disqualification Group. Utilizing advanced investigative skills, will conduct extensive research and inquiries into applications for admission or re-admission to organization membership by statutorily disqual...
Company
FINRA.  
Location
Chicago, IL
Counsel to the Head of Enforcement The candidate facilitates and supports consistent decision-making and foreseeable outcomes across the department. Works closely with the EVP of Enforcement and Enforcement senior management to identify novel policy and interpretive issues across the Enforcement docket, and coordinates across the organization to develop and implement organization's regulatory response. Will be the primary liaison with the Office of General Counsel, includi...
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