Legal jobs

III - Finance Transactions Duties: Advises on the application of the law and legal risk to read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

- Market Regulation, Legal The candidate will participate in examinations, investigations and disciplinary proceedings on behalf of the Market Regulation Department (Department) for violations of the Association's rules and the federal securities laws and provides legal advice and counsel to the staff of the Department. Essential functions will include: Under the direct supervision of the Chief Counsel or Assistant Chief Counsel to the Market Regulation Department, t... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

II, Corporate Financing The candidate conducts independent investigations of potential rule violations relating to corporate financing activities, including the review of private placement filings, received as a complaint or inquiries from the public, members, district offices or other regulatory organizations. Reviews materials, gathers additional facts, provides written comments, and summarizes the results into an investigative memorandum. Provides support in... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

II - Registration and Disclosure The candidate will manage the integration and delivery of all aspects of organization's BrokerCheck and related transparency programs, across RAD and other organization departments (including corporate communications, investor education and member regulation) and with investors, industry, regulators and other external stakeholders. Will serve as the primary internal and external lead for BrokerCheck and related programs. Implement or... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Leader - Associate Director The candidate will lead a team of OWB Analysts/Investigators to ensure that assigned matters are properly reviewed and investigated in a timely manner. Will ensure high risk matters are elevated to OWB Director and Senior Officer of OFDMI for immediate consideration. Present investigative findings (orally and in writing) which detail investigative findings, potential violations and recommendations for next steps. Recommend enhancements and as... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

III - Finance Transactions Duties: Advises on the application of the law and legal risk to read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Vice President and Deputy to the Head of Enforcement Duties: Responsible for advising the Head of Enforcement on high priority Enforcement investigations, formal actions, and litigation. Spot policy and legal issues, communicate and operationalize a uniform analytical framework to achieve consistent analysis and results, and lead change across the department. Assist the Head of Enforcement in overseeing the integration of the legacy Enforcement and Market Regulation L... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

working for a mission driven organization give you meaning and purpose in your work? Does the idea of working for a regulator speak to your moral compass? FINRA, the Financial Industry Regulatory Authority, has a critical mission- investor protection and market integrity. If this sounds intriguing, keep reading and apply today. FINRA is hiring an Associate Principal Analyst. As an analyst you will review member (broker-dea... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Corporate Actions Transparency Services Duties: Performs a variety of specific duties depending on the section to which assigned, generally including assisting in the day-to-day operational functions of the OTC market in the processing of various Corporate Actions. This is entry-level professional work in which incumbents perform their assigned roles, develop job-related skills, and work under direct supervision. Reviews and analyzes corporate action submissions reg... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Review Analyst II The candidate will support the following regulatory-related programs as follows: Statutory Disqualification/ Membership Continuance, "Acceptance", Form U6 reporting to Web CRD and regulatory support functions such as the preparation of the disciplinary actions summaries for the monthly Regulatory Notices publication. Will review potential and actual statutory disqualification cases, including filings, court documents and correspondence referred b... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here