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Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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Posted On Jul 26, 26
Full-time 1 views Experience : Min 12 yrs required
Job Tags:
Affirmative Action agreements child Code of Conduct domestic partner family FINRA Insurance invention Securities securities laws spouse
Job Tags:
Affirmative Action agreements child Code of Conduct domestic partner family FINRA Insurance invention Securities securities laws spouse

Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job... serves as a strategic regulatory advisor and subject matter... structure, market regulation, and Regulatory Services Agreement (RSA) matters.... The... essential job functions: - Regulatory Intelligence & Strategic Advisory:... analyze, and interpret complex regulatory developments from exchanges, the......

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Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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Posted On Aug 20, 26
Full-time 1 views Experience : 2-10 yrs required
Job Tags:
Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse
Job Tags:
Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

- Crypto Exam and Regulatory Conduct Job Responsibilities: The... the Crypto Exam and Regulatory Conduct team is tasked... market conduct rules, and regulatory obligations. The Director oversees... the execution of investigations that require both onchain and traditional investigative techniques, including...

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Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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Posted On Jul 05, 26
Full-time 2 views Experience : Min 12 yrs required
Job Tags:
Affirmative Action child Code of Conduct corporate compliance domestic partner family finance financial services regulation FINRA Government Insurance invention Litigation Media Securities special projects spouse
Job Tags:
Affirmative Action child Code of Conduct corporate compliance domestic partner family finance financial services regulation FINRA Government Insurance invention Litigation Media Securities special projects spouse

as a trusted advisor on significant matters related to Enforcement and the organization's regulatory mission. - Exercise sound judgment... and independent decision-making authority within delegated scope, establishing decision frameworks and escalation protocols for when EVP involvement is required. - Lead strategic analys...

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Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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Posted On Aug 20, 26
Full-time 1 views Experience : 2-10 yrs required
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: - Lead and manage a team of investigators focusing on crypto-related fraud and market abuse within the securities industry. - Oversee investigations using both onchain techniques (such as blockchain analytics, smart contract...

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Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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Posted On Jul 26, 26
Full-time 1 views Experience : 5-10 yrs required
Job Tags:
Affirmative Action blockchain child Code of Conduct Cybersecurity domestic partner family FINRA fraud Insurance invention Money Laundering Securities spouse
Job Tags:
Affirmative Action blockchain child Code of Conduct Cybersecurity domestic partner family FINRA fraud Insurance invention Money Laundering Securities spouse

Title: Senior Principal Investigator, Crypto Asset Investigations - Blockchain Technology Job Responsibilities: - Independently lead investigations related to tokenized securities and other crypto asset activities of organization member firms and associated persons. - Document investigative strategies, findings, and results in...

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Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

Apply
Posted On Jul 26, 26
Full-time
Job Tags:
Affirmative Action blockchain child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse
Job Tags:
Affirmative Action blockchain child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Investigations is tasked with conducting high-complexity investigations into crypto asset activities of member firms and their associated persons. This role requires providing subject matter expertise to the regulatory operations staff on crypto... asset matters and initiatives. The investigator also assis...

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Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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Posted On Aug 12, 26
Full-time 2 views
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse

independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal teams to execute a comprehensive monitoring strategy. - Collaborate cross-functionally with internal departments to analyze regulatory developments,...

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Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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Posted On Aug 31, 26
Full-time 1 views Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse

cross-departmental efforts to identify emerging threats and drive intelligence-driven initiatives with measurable impact on Strategic Intelligence results. - Lead a team of intelligence analysts in identifying, analyzing, and predicting emerging risks, threats, regulatory trends, and critical events... with broad scope, consideri...

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Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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Posted On Sep 08, 26
Full-time 1 views Experience : Min 12 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse

stakeholders, guiding cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the organization. - Provide leadership to teams identifying, analyzing, and predicting a broad and complex range of emerging risks, threats, regulatory trends, and critical events......

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

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Posted On Sep 15, 26
Full-time 1 views Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Serve as a key member of senior management and strategic advisor to business stakeholders, partnering across departments to provide critical leadership and strategic direction on regulatory oversight, emerging risks, and... intelligence-driven initiatives. - Drive strategic discussions, decisions, and cross-departmental initiativ...

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

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Posted On Sep 15, 26
Full-time 2 views Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Title: Vice President, Trading and Product Risk Intelligence Job Responsibilities: The Vice President, Trading and Product Risk Intelligence, is a pivotal leadership role within the Intelligence leadership team. Reporting directly to the Senior Vice President of Strategic Intelligence, the VP will lead...

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

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Posted On Sep 01, 26
Full-time 2 views Experience : 5-10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and interact with internal and external...

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

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Posted On Sep 22, 26
Full-time Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

for providing leadership in regulatory risk assessment and strategy... several key responsibilities: - Collaborate with Surveillance Operations leadership to conduct continuous qualitative research into market conditions and developments. - Manage an analyst to develop and deliver specialized reports on regulatory issues...

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

Apply
Posted On Sep 29, 26
Full-time
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA Insurance invention Securities special projects spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA Insurance invention Securities special projects spouse

Business Model or Business Segment. - Supervise Risk Monitoring Analysts, ensuring timely, precise, and quality risk assessments, reports, intelligence, and regulatory responses. - Oversee development of... risk-based Regulatory Responses to address identified... risks and evaluate firm corrective actions to assist with...

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