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United States
Posted On Aug 17, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Government / Public Law Government - General
Job Tags:
Affirmative Action Capital Markets child Code of Conduct domestic partner family Financial Industry Regulatory Authority FINRA Insurance invention Media Securities special projects spouse Trademark
Practice Area:
Government and Government Relations Government / Public Law Government - General
Job Tags:
Affirmative Action Capital Markets child Code of Conduct domestic partner family Financial Industry Regulatory Authority FINRA Insurance invention Media Securities special projects spouse Trademark

role involves providing expert knowledge and advice to the Board of Governors and senior management on high-impact, legally, and politically complex regulatory initiatives and rule changes. Recognized by FINRA and the industry as... a primary expert in complex subject matt...

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Posted On Jun 02, 26
Full-time 20 views Experience : Min 6 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.)
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.)
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse

Title: Counsel, Enforcement Job Responsibilities: - Resolve non-complex Enforcement matters by executing a risk-based legal strategy, assessing the record fairly, and recommending fair and effective outcomes through well-reasoned legal frameworks. - Identify potential risks, defenses, individual liability, and Principal Considerations. - Negotiate settlements effectively...

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Posted On Jul 30, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Government / Public Law Government - General
Job Tags:
Affirmative Action Capital Markets child Code of Conduct domestic partner family Financial Industry Regulatory Authority FINRA Insurance invention Media Securities special projects spouse Trademark
Practice Area:
Government and Government Relations Government / Public Law Government - General
Job Tags:
Affirmative Action Capital Markets child Code of Conduct domestic partner family Financial Industry Regulatory Authority FINRA Insurance invention Media Securities special projects spouse Trademark

Title: Associate General Counsel, Capital Markets Job Responsibilities: - Direct and manage the complete life cycle of adopting new regulatory requirements. - Provide expert knowledge to the Board of Governors and senior management, advising on high-impact, legally and politically complex regulatory initiatives and...

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Posted On Aug 25, 26
Full-time 5 views Experience : Min 10 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials

Title: Director, Enforcement Job Responsibilities: The Director of Enforcement is responsible for managing a team of 5-8 Enforcement attorneys to develop and resolve Enforcement cases from inception to completion. This role involves overseeing a diverse docket of cases, ensuring outcomes are supported...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Jun 07, 26
Full-time 8 views Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention regulatory compliance Securities Securities Exchange Act of 1934 special projects spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention regulatory compliance Securities Securities Exchange Act of 1934 special projects spouse

Title: Strategic Advisor, Market and Regulatory Services Job Responsibilities: - Act as a strategic thought partner within an assigned Market and Regulatory Services (MRS) line of business, providing counsel on business initiatives, strategic planning, risk management, policy, and processes, ensuring alignment with...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Jul 26, 26
Full-time 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

Title: Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job Responsibilities: The Senior Advisor serves as a strategic regulatory advisor and subject matter expert on market structure, market regulation, and Regulatory Services Agreement (RSA) matters. Key responsibilities include: - Regulatory Intelligence...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Aug 12, 26
Full-time 2 views Experience : 3-5 yrs required
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

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Lead risk monitoring activities for complex and elevated-risk member firms, exercising independent judgment with support from a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal teams...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Aug 20, 26
Full-time 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

Title: Director, Investigations - Crypto Exam and Regulatory Conduct Job Responsibilities: The Director of the Crypto Exam and Regulatory Conduct team is entrusted with leading a team of skilled investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory obligations....

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Jun 10, 26
Full-time 5 views 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

Title: Senior Director, Market Strategy & Research Job Responsibilities: The Senior Director, Market Strategy & Research plays a pivotal role in providing leadership in regulatory risk assessment and strategy development. This position is crucial for the department's ability to craft regulatory strategies...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Jun 21, 26
Full-time 9 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

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Lead Risk Assessments: Conduct sophisticated risk monitoring of member firms, including complex or elevated-risk organizations, with minimal supervision. - Drive Strategic Intelligence: Analyze regulatory developments and market trends, translating them into actionable recommendations for senior...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Jun 25, 26
Full-time 7 views Experience : Min 15 yrs required
Job Tags:
Affirmative Action artificial intelligence child Code of Conduct domestic partner emerging technologies family financial services regulation FINRA fraud Insurance invention Machine Learning Securities spouse
Job Tags:
Affirmative Action artificial intelligence child Code of Conduct domestic partner emerging technologies family financial services regulation FINRA fraud Insurance invention Machine Learning Securities spouse

Title: Executive Vice President, Risk & Intelligence Job Responsibilities: Strategic Leadership - Establish and execute the strategic vision for Risk and Intelligence as the organization's central hub for integrated risk assessment and intelligence operations. - Serve as a key advisor to executive leadership and...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Jul 02, 26
Full-time 4 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

Title: Vice President, Enforcement Senior Advisor & Operations Job Responsibilities: - Serve as a strategic partner and thought leader to the EVP of Enforcement, acting as a trusted advisor on significant matters related to Enforcement and the organization's regulatory mission. - Exercise sound...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Jul 26, 26
Full-time 1 views
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: - Serve as an expert for the organization, applying specialized knowledge of crypto assets, blockchains, smart contracts, and other onchain technologies to address complex regulatory challenges. - Conduct investigations into potential...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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

Title: Senior Principal Investigator, Crypto Asset Investigations - Tokenized Securities Markets Job Responsibilities: - Conduct high-complexity investigations into crypto asset activities of organization member firms and their associated persons. - Provide subject matter expertise to Regulatory Operations staff on crypto asset matters and...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

Apply
Posted On Aug 10, 26
Full-time Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct cryptocurrency domestic partner equity family finance FINRA fraud Insurance invention Securities spouse
Job Tags:
Affirmative Action child Code of Conduct cryptocurrency domestic partner equity family finance FINRA fraud Insurance invention Securities spouse

Title: Director, Transparency Services Equities Job Responsibilities: Market Strategy & Product Leadership - Own the P&L and business operations for the organization's OTC Equity products and facilities. - Analyze market and industry trends to propose and prioritize product development strategies, balancing market needs with...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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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, ensuring thorough and strategic investigations using reliable methodologies. - Drive...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

Apply
Posted On Aug 31, 26
Full-time 1 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

Title: Principal Analyst, Risk Monitoring Job Responsibilities: The Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. Key responsibilities include: - Conducting risk monitoring activities which may involve...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

Apply
Posted On Aug 31, 26
Full-time 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

Title: Director, Emerging Technology Intelligence Job Responsibilities: The Director, Emerging Technology Intelligence is integral to the Strategic Intelligence team within the Risk & Intelligence department at the organization. The primary role involves providing leadership to a team of analysts engaged in intelligence...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

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Posted On Sep 08, 26
Full-time Experience : Min 6 yrs required
Job Tags:
Affirmative Action Alternative Dispute Resolution child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse
Job Tags:
Affirmative Action Alternative Dispute Resolution child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Principal Analyst, Dispute Resolution Services Training Job Responsibilities: - The Principal Analyst is tasked with creating, maintaining, and updating training modules for key Dispute Resolution Services (DRS) regional job categories. - Responsible for training new regional hires and delivering just-in-time, customized training...

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Attorney in New York City, NY

Public Interest • **Members Only** New York City, NY

Apply
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

Title: Senior Director, Trading and Product Risk Intelligence Job Responsibilities: - Serve as a senior strategic partner to internal and external stakeholders, providing guidance on cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the organization. - Provide...

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