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Litigation Counsel, Enforcement - Any FINRA Location Overview: The Senior Litigation Counsel, Enforcement will have the opportunity to work on complex disciplinary and non-disciplinary proceedings nationwide, as well as brief and argue appeals before the National Adjudicatory Council...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
Risk Monitoring - Capital Markets - Any FINRA Location Full Time Job Requisition ID: R-008111 Job Title: Director, Risk Monitoring - Capital Markets Experience: MBA, JD, other graduate degree and/or relevant industry certification(s) preferred. Organization:...
R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable rules... and regulations, and financial crimes. The Director develops and supervises specialists regulatory programs and work products related to the routine and special examinations/inv...
2024 Legal Intern - Part Time: Join a Dynamic Organization Focused on Global Investor Protection Do you have a passion for promoting investor protection and upholding the highest standards of ethical and professional conduct? Then join us at the...