Save your search progress and never miss an update
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and 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...
Director The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the...
Enforcement - Woodbridge, NJ/Jersey City, NJ/Jericho, NY/Denver, CO/Dallas, TX/Chicago, IL/Boston, MA/Boca Raton, FL/Washington, DC/San Francisco, CA/Rockville, MD/Philadelphia, PA/New York, NY/Los Angeles, CA Overview: - The Enforcement Director manages a team of 5-8 attorneys responsible for developing and resolving...
degree and admission to the bar, as well as a minimum of seven years of experience in securities-related regulatory and/or complex litigation.... The Director must also have experience managing and leading teams, as well as excellent communication and organizational skills...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and require affirmative action by covered prime contractors and subcontractors to...
non-governmental regulator for all securities firms doing business with... maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed,...
non-governmental regulator for all securities firms doing business with... public-private partnership with the Securities and Exchange Commission (SEC),... while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry...
General Counsel, Regulatory - Job Summary: This is a senior-level legal position that involves providing advice and support for the adoption of new regulatory initiatives and acting as a subject matter expert in various areas of legal expertise. The...
Associate General Counsel, Regulatory is a highly specialized and senior-level position responsible for providing expert legal advice and guidance on high-impact, complex, and politically sensitive regulatory initiatives and rule changes. This position requires a law degree, admission to the bar,...
Enforcement: - Responsible for managing a team of 5-8 Enforcement attorneys and overseeing all stages of Enforcement cases - Ensures that outcomes in each case are supported by thorough and accurate factual findings and clear legal framework - Monitors aging...