HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the... Honors Program are integral to the investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. This entry-level position provides substantive hands-on legal experience and specialized knowledge...
Title: Securities Transaction and Compliance Coordinator Job Responsibilities: The Securities Transaction and Compliance Coordinator will be responsible for a variety of duties related to securities transactions and compliance within the law firm's Office of General Counsel. The key responsibilities include: - Reviewing, analyzing,...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as the strategic examinations leader accountable for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Set a multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: The Vice President of Capital Markets, Fixed Income, and Compliance Testing is a strategic leader responsible for overseeing the Capital Markets, Fixed Income Specialist, and Compliance teams within the organization's...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is a professional position within the Strategic Intelligence & Analytics (StratIntel) division of the organization’s Member Supervision department. The role involves utilizing an expanded skill set and expertise in the...
Title: Assistant General Counsel Job Responsibilities: - Acts as a subject matter expert and provides business leaders with legal advice on issues impacting the company's discretionary and non-discretionary registered investment advisory offerings. - Ensures that business activities, policies, practices, and transactions comply with...
Title: Associate Counsel – Third Party Distribution Job Responsibilities: - Provide legal advice and representation on matters related to the company's business activities and investment products. - Prepare resolutions and participate in major legal actions. - Liaise with the business on strategic issues and...