Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers, in alignment with Member Supervision goals. - Develop multi-year strategic...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to fulfilling the mission of StratIntel within the Member Supervision department of the organization. The key responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. -...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities, including...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities, including...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of FINRA members under the supervision of a Risk Monitoring Director. - Identify existing and emerging risks, supporting the direct manager in interactions...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is instrumental in supporting the mission of the StratIntel division within the organization's Member Supervision department. The role involves leading complex analytical projects to identify emerging market risks with minimal supervision, developing...
Tax Counsel Job Title Corporate Tax Counsel Job Responsibilities The Corporate Tax Counsel will be a part of the Tax Team within the Corporate Practice Group at the law firm. The primary responsibilities include: - Supporting the general corporate law team on corporate and transactional...
Title: Investment Funds Associate Job Responsibilities: The Investment Funds Associate will be part of a team within the Corporate Practice Group responsible for handling a wide range of corporate transactions. The responsibilities include: - Structuring and forming private equity and venture capital funds. -...
Title: Associate, HONORS Program-1 Job Responsibilities: Associates in the HONORS Program at the organization make significant contributions to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. They gain hands-on legal experience and develop...
Title: Law Clerk Job Responsibilities: - Conduct client interviews and provide legal advice under supervision. - Engage in legal research and writing, including drafting legal documents and correspondence. - Perform document review and analysis, ensuring accurate and thorough understanding of case materials. - Participate in...