Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program are tasked with contributing significantly to Enforcement's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. The role provides substantive hands-on legal experience, enhancing...
advice, including Regulation Best Interest, the Investment Advisers Act, and applicable FINRA rules and state securities... regulations. - Conduct legal, factual, and benchmarking research and prepare summaries of risk/legal analysis. - Review marketing, training, and other field-facing materials. - Assist with drafting v...
Title: Senior Director, Corporate Counsel - Investment Fund Job Responsibilities: The Senior Director, Corporate Counsel at the company will be an integral part of the Legal Risk Sustainability Compliance (LRSC) Team. This role is dedicated to supporting the company's real estate investment...
Title: Associate General Counsel Wealth Job Responsibilities: - Advise senior management and stakeholders on a wide range of legal and compliance issues within the Bank’s full-service wealth management business, which encompasses RIA, Broker Dealer, and Trust offerings and services. - Develop and implement...
Title: Vice President, Associate General Counsel Job Responsibilities: - Provide legal, regulatory, and strategic advice and counsel to the Fidelity Digital Asset Management team on all aspects of the company's cryptocurrency and blockchain products and services business. - Advise the Fidelity Digital Asset...
Title Director, Tax Counsel Job Responsibilities The Director, Tax Counsel will become a member of the Tax Planning team within the Corporate Tax Department at the company. This role involves providing support on a wide variety of tax matters for...
Title: Senior Corporate Paralegal Job Responsibilities: The Senior Corporate Paralegal will be primarily responsible for providing legal support in the areas of Capital Markets, Startups, and Mergers & Acquisitions. The position requires the following specific duties: - Capital Markets and Public Companies: The...
Title: Capital Markets Group Paralegal Job Responsibilities: As a Capital Markets Group Paralegal at the law firm, you will support the delivery of quality legal services to clients by performing technical tasks that require accuracy, attention to detail, strong organizational skills, strong...
Title: Associate General Counsel Job Responsibilities: The Associate General Counsel will play a pivotal role in supporting the Wealth Management Division at the company. Reporting directly to the Senior Associate General Counsel, Head of Wealth Legal, this position involves providing comprehensive legal...
on . and international securities laws and regulations, including the Investment Company Act, Exchange Act, Investment Advisers Act, and FINRA rules. - Offer advice and... counsel to the company's limited-purpose broker-dealer on compliance with FINRA rules and other regulatory... matters. - Draf...
fund formations. Ensure compliance with SEC regulations and offer strategic advice on structuring deals. - Regulatory Compliance: Provide guidance on SEC, FINRA, and other securities regulatory... matters. Help clients navigate complex rules and mitigate risks. - Public Offerings and Securities Transactions: A...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level position within the Strategic Intelligence & Analytics (StratIntel) department of the organization. This role involves utilizing an expanded skillset and expertise related to the mission of...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic direction and execution of the Examinations Program for the Firm Group, ensuring efficiency and effectiveness. - Develop and implement a multi-year strategic plan aligning with Member...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop a multi-year strategic plan aligning with Member...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the direct manager in identifying existing and emerging risks and manage interactions with...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a crucial member of the StratIntel team within the organization’s Member Supervision department. This role involves: - Leading complex analytical projects with minimal supervision to identify emerging market risks. - Developing sophisticated frameworks...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and engage in interactions with both internal and external parties. - Handle complex or elevated risk firms with...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of **Members Only** members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal and external...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) is integral to executing high-visibility external engagements and publications that share insights and intelligence with the securities industry. The role involves...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interacting with internal and external...
law firm in Boston, MA, is seeking a Senior Corporate Securities Associate Attorney or Counsel with extensive experience in securities law and corporate governance. The ideal candidate will have a strong background in public company regulations, securities offerings, and compliance...