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Text: The Public Company Accounting Oversight Board (PCAOB) is currently seeking legal interns for Fall 2024. This part-time position offers a competitive hourly rate based on education level and qualifications, with the option to work remotely from anywhere within...
Friendly Job Title: Senior Litigation Counsel, Enforcement - Any FINRA Location H1 Heading: Join Our Team as a Senior Litigation Counsel at FINRA! H2 Headings: - Represent FINRA in Complex Litigation Cases - Provide Guidance and Advice on...
title: Assistant General Counsel, Regulatory - Full Time ... an Assistant General Counsel, Regulatory H2 heading: Senior-Level... an Assistant General Counsel, Regulatory - Senior-Level Legal Role... with Purpose and Meaning - Essential Job Functions - Education/Experience Requirements - Work...
Investigator, FINOP-NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and...
fraud and misconduct - Conducts extensive background searches of FINRA member firms and registered representatives - Provides subject matter expertise and conducts in-depth data analysis - Independently leads investigations of varying risk and complexity - Gathers regulatory intelligence and r...
Enforcement The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly....
direct OGC's program with respect to regulatory matters requiring specialized expertise... in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent expert advice in this area. Demonstrate expertise with respect to the Exchange Act and Investment Advisers Act, their rules,...