Regulatory Law Jobs in Jericho

Counsel, Enforcement The candidate will execute an effective risk-based legal strategy to assess the record fairly. Collaborate with investigative staff to plan investigations and fully develop the record. Research and identify ..

Senior Principal Investigator, Specialist Team The candidate conducts advanced high complexity routine and special investigations of member firms. Investigates potentially suspicious activities of persons associated with member firms. Provides guidance to ..

Associate Principal Investigator, National Cause Programs The candidate conducts extensive background searches of the organization's member firms and registered representatives in support of open the organization's investigations in the NCP. Provides ..

Principal Investigator, Sales Practice 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 ..

Principal Investigator, National Cause Program 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 ..

Associate Counsel I Duties: Provides stakeholders with practical advice and support on legal matters in a fast-paced environment. Anticipates client needs to be based on an understanding of the business and ..

Senior Principal Investigator, Specialist Team The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; and provides ..

Assistant General Counsel, Regulatory The candidate will render senior-level ... of the adoption of new regulatory initiatives, and serve as subject ... respect to complex and sensitive regulatory initiatives and..

Associate Counsel I Duties: Provides stakeholders with practical advice and support on legal matters in a fast-paced environment. Anticipates client needs to be based on an understanding of the business and ..

Assistant General Counsel, Commercial The candidate 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 ..

Associate Counsel I The candidate provides stakeholders with practical advice and support on legal matters in a fast-paced environment. Anticipates client needs based on an understanding of the business and regulatory ..

... and inter-departmental initiatives, advise on regulatory policy formulation and provide expert ... and provide expert guidance on regulatory matters for the Market Regulation ... and approval function for existing..

... and predictability in the Department's regulatory responses. Work closely with the ... new hires. Should have a law degree and admission to the ... have 9+ years of securities-related..