Job Title: Assistant Special Counsel, Office of Hearing Officers Job Responsibilities: The Assistant Special Counsel in the Office of Hearing Officers is a senior-level legal position responsible for providing effective legal support to Hearing Officers in connection with the adjudication of disciplinary proceedings. The role involves handling a wide range of cases brought by the Department of Enforcement against registered firms and associated persons, as well as temporary
Job Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the entire lifecycle of adopting new regulatory initiatives. - Serve as a subject matter expert in one or more areas of legal expertise, providing guidance under general supervision. - Advise the Board of Governors and advisory committees on complex and sensitive regulatory initiatives and rule changes. - Brief and communicate complex regulatory in
Job Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the life cycle of new regulatory initiatives, serving as a subject matter resource in various areas of legal expertise. - Advise the Board of Governors and advisory committees on complex and sensitive regulatory initiatives and rule changes. - Brief and communicate regulatory initiatives to senior executives, providing analysis under urgent deadl
Job Title: Assistant General Counsel, Regulatory Job Responsibilities: The Assistant General Counsel, Regulatory, is responsible for providing senior-level legal advice and support throughout the lifecycle of new regulatory initiatives and serving as a subject matter expert in one or more areas of legal expertise. The role involves: - Advising the Board of Governors and advisory committees on complex and sensitive regulatory initiatives and potential rule changes, with limi
Job 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 hands-on legal experience, enhancing their skills in investigating, litigating, and writing. They gain specialized knowledge about the fi