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: Tax Liaison Sr. - Fiduciary and Estate (Enrolled Agent) Job Responsibilities: 1. Coordinate with an outside vendor responsible for preparing tax returns to address fiduciary compliance needs. Provide necessary information for tax preparation, consult on moderate to complex tax issues, and...
large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...