Legal jobs

Counsel - Market Regulation Duties: Under the direct supervision of the Chief Counsel, Litigation, or Assistant Chief Counsel, Quality of Markets to the Market Regulation Department, will engage in the following activities: Advise and participate in examination and surveillance reviews and complex investigations conducted by the Department... pertaining to the trading and market making, and sales practice violations by member firms and associated persons including the gatheri... 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Note: This job is no longer active.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

Legal Counsel - Market Regulation The candidate will be responsible for participation 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. Will advise and participate in examination and surveillance reviews and complex investigations conducted by the Department... pertai... 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Note: This job is no longer active.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, Trading & Financial Compliance Examinations (TFCE) Equities Duties: Managing an assigned group of Compliance Examiners to ensure that required TFCE examinations are scheduled, executed and completed in timely manner that will achieve Departmental, FINRA and SEC requirements. Provide Market Regulation management with information regarding the achievement of required goals, new developments and obstacles to achieving goals. Hiring and directing 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

Legal Counsel The candidate will support firm's philosophy of patient centered care by ensuring compliance with federal, state, and local laws and regulations. Will identifies opportunities for compliance improvement, addresses compliance concerns and risks, and develops educational programs and internal controls to build a stronger culture of compliance within the firm Corporations. Assist the Senior Legal Counsel in managing the firm Hotline and conducting investigations o... 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

Counsel - (Contractor) - Market Regulation, Legal The candidate will have participation 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. Will advise and participate in examination and surveillance reviews and complex investigations conducted by the Department... pert... 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

Regulatory Analyst - Office of Fraud Detection & Market Intelligence - ORSA Duties: Conducts routine review and investigations of unusual market activity... for evidence of potential insider trading in options and for potential violations of relevant federal securities laws and Regulatory Authority rules. Routinely analyzes trading activity in options for indications of potential insider trading . Conducts routine reviews and investigations into possible violations of... federal... 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

The candidate will be interpreting and translating, responding to inquiries from the public, assisting complainants with investigation requests, conducting interviews and providing assistance to staff counsel. Must possess an ABA paralegal certificate and either a Bachelor's degree or related paralegal work experience. ATA or AOIC certification as a translator/interpreter or Translation Studies educational background highly desirable. Should have 2+ years of experi... 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

Counsel, Market Regulation Duties: Participation in examinations, investigations and disciplinary proceedings on... behalf of the Market Regulation 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. Under the direct supervision of the Chief Counsel or Assistant Chief Counsel to the Market Regulation Department, the attorney will engage in the following activities: Advise an... 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

Senior Counsel - Market Regulation Duties: Participation 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. Advise and participate in examination and surveillance reviews and complex investigations conducted by the Department... pertaining to the trading and market m... 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

Associate Investigator - OFDMI - Insider Trading - ORSA The candidate will conduct routine review and investigations of unusual market activity... for evidence of potential insider trading in options and for possible violations of relevant FINRA rules and the federal securities laws. The position involves professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Duties: Analyze trading activit... 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