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Works efficiently and collaboratively with in-house business and technology personnel primarily through the negotiation of transactions and contracts but also when providing counsel on complex legal concepts relating to technology..
Are you an attorney with an interest in alternative dispute resolution Do you like being a team lead Do you have strong communication skills and attention to detail Do you..
Are you an experienced attorney 5 years with an interest in alternative dispute resolution Have you managed a team Do you have strong problem-solving and analytical skills as well as..
Associate Principal Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will conduct risk monitoring activities and ongoing risk assessments of..
Examination Manager, Trading & Execution The candidate will ensure completion of risk-based examinations of FINRA member firms and registered representatives. Manages of 4-6 Examination Analysts. Manages direct reports performance on..
Senior Analyst - Public Offerings The candidate will perform analysis of complex and high-profile public offering transactions filed under severe market-driven timing pressure. Will provide opinions, on behalf of the..
Associate Principal Analyst, Capital Markets And Investment Banking Services The candidate will be responsible for: Conducts risk monitoring for member firms that can include complex or elevated risk firms with..
Director, Enforcement Duties: Provide oversight, direction and active management to Enforcement attorneys to achieve timely and foreseeable high-quality Enforcement outcomes. Working closely with attorneys to assess how the record supports..
Director, Enforcement Duties: Provide oversight, direction and active management to Enforcement attorneys to achieve timely and foreseeable high-quality Enforcement outcomes. This includes working closely with attorneys to assess how the..
Assistant General Counsel, OGC The candidate will works efficiently and collaboratively with in-house business and technology personnel, primarily through the negotiation of transactions and contracts, but also when providing counsel..
Principal Counsel, Market Regulation Duties: Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters. Determine and execute..
u003Cp style=text-align:inherit\u003Eu003Cu002Fpu003Eu003Cp style=text-align:inherit\u003EThe Associate Principal Examiner has demonstrated a proficient level of competence in identifying risks, developing regulatory strategies to address those risks and managing teams to achieve the goals..
Senior Special Counsel, Hearing Officer The candidate will be responsible for: Prepare timely and well written orders, default and hearing panel decisions. Effectively preside at contested hearings and pre-hearing conferences..
Essential Job Functions: Serve as a key member of Enforcement’s senior management team and partner closely with Technology, Member Supervision, Market Regulation, and the Office of the Chief Economist, and..