Legal jobs

President and Senior Advisor Member Supervision The candidate reporting to the Senior Vice President and Chief of Staff, provides expert advice to the executive management team of Member Supervision on a full range of operational, policy and regulatory issues. This support is essential to enabling the executive management team to effectively execute against Member Supervision goals and strategic and operational priorities. Act as a “behind-the-scenes” utility for th... 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Note: This job is no longer active.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

Risk Monitoring Analyst - Retail Small/Medium/Large The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts risk monitoring activities, that can i... 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Note: This job is no longer active.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

Manager - Diversified, Carrying and Clearing The candidate will ensure completion of risk-based examinations of member firms and registered representatives. Will manage of 4-6 examination analysts. Manage direct reports performance on an annual basis. Schedule and staff exams. Review and approve risk reviews. Review and approve all exam related reports and letters (. strategy, exit, exam, disposition, etc.) for low and medium-low firms. Empower direct reports... 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Note: This job is no longer active.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

Manager - Diversified, Carrying and Clearing The candidate will ensure completion of risk-based examinations of member firms and registered representatives. Will manage 4-6 examination analysts. Manage direct reports performance on an annual basis. Schedule and staff exams. Review and approve risk reviews. Review and approve all exam related reports and letters (. strategy, exit, exam, disposition, etc.) for low and medium-low firms. Empower direct reports 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

- Financial Operations, TFCE Fixed Income The candidate manages a team of regulatory examiners conducting trading and execution reviews and examinations of equity and/or options trading activity for evidence of violations of applicable federal securities laws, and organization and Exchange rules and regulations. Determines firms to include on examination plan. Provides guidance to staff and management on high-level issues. Provides guidance to external parties on hi... 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

President, Core Programs The candidate will report to the Senior Vice President and Chief of Staff. Will provide expert advice to the executive management team of Member Supervision, including the EVP of Member Supervision and the Chief of Staff, on a full range of operational, policy and regulatory issues, and their associated communications. Act as a key member of the senior management team and behind-the-scenes utility for the EVP / Chief of Staff, trusted and able 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

Manager (Diversified) The candidate will ensure completion of risk-based examinations of member firms and registered representatives. Will manage 4-6 examination analysts. Manage direct reports performance on an annual basis. Schedule and staff exams. Review and approves risk reviews. Review and approve all exam related reports and letters (. strategy, exit, exam, disposition, etc.) for low and medium-low firms. Empower direct reports to make decisions relating to th... 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

Principal Analyst, Risk Monitoring - Retail Small, Medium and Large Firms The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Will report to a Risk Monitoring Director and support both that direct manager in identifying existing and emerging risks. Conduct risk monitoring for member firms that can include complex or elevated risk firms with guidance and moderate supervision of a Risk... 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

Analyst, Risk Monitoring - Medium Diversified Group Duties: Conduct continuous real-time risk identification of assigned member firms. Show heightened proficiency in prioritizing risk, through an understanding of firm business activities, the risks associated with those business activities and the controls in place to mitigate those risks, with minimal guidance and supervision. Ongoing surveillance of assigned firms against material appropriate risks – considering... 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

Manager - Cybersecurity and IT Controls, Member Supervision Specialist Program The candidate will ensure completion of risk-based Cybersecurity and Information Technology Controls (CyberTech) examinations of member firms and registered representatives. Will be accountable for 2-5 assigned specialist's performance management and career development. Manage direct reports performance on an annual basis. Schedule and staff exams. Review and approve risk reviews. Revie... 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