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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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 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

Asset Investigations - Tokenized Securities Markets Job Responsibilities: The Senior Principal... Investigator in Crypto Asset Investigations (CAI) is responsible for conducting high-complexity investigations into crypto asset activities of organization member firms and their associated persons. This role requires the provision of subject...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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

Title: Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job Responsibilities: Regulatory Intelligence & Strategic Advisory - Monitor, analyze, and interpret complex regulatory developments related to market structure and market regulation from exchanges, the organization, the SEC, and other regulatory bodies. - Provide...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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

Title: Vice President, Enforcement Senior Advisor & Operations Job Responsibilities: The Vice President, Enforcement Senior Advisor & Operations is a senior leadership role reporting directly to the Executive Vice President (EVP) of Enforcement. This position is crucial for shaping the strategic direction...

Posted On Jul 10, 26
Full-time 2 views Experience : Min 6 yrs required
Practice Area:
Government and Government Relations Administrative Law Government / Public Law Government - General
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse
Practice Area:
Government and Government Relations Administrative Law Government / Public Law Government - General
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Principal Counsel, Regulatory Job Responsibilities: The Principal Counsel in the Office of General Counsel (OGC), Regulatory Policy provides legal advice and support throughout the life cycle of new regulatory initiatives and acts as a subject matter resource in specific areas of...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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 in crypto assets, blockchains, smart contracts, and other onchain technologies, addressing complex regulatory challenges. - Conduct investigations into money laundering, onchain vulnerabilities, cybersecurity incidents, fraud, and...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 19, 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: - Lead risk monitoring activities for complex and elevated-risk member firms, exercising independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 19, 26
Full-time 1 views 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: - Owns the P&L and business operations for the organization's OTC Equity products and facilities. - Analyzes market and industry trends to propose and prioritize product development strategies, balancing market needs with...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 20, 26
Full-time 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

leading a team of investigators focused on detecting, investigating, and mitigating crypto-related fraud and market abuse within the securities industry. Key responsibilities include: -... Leading and managing investigations by providing leadership, oversight, direction, and active day-to-day management of a team han...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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

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

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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

Title: Director, Emerging Technology Intelligence Job Responsibilities: - Serve as a senior partner to internal and external stakeholders, leading 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...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Sep 01, 26
Full-time
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 perform ongoing risk assessments of FINRA members, reporting findings to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engage with both...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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

Title: Senior Director, Trading and Product Risk Intelligence Job Responsibilities: The Senior Director, Trading and Product Risk Intelligence, plays a pivotal role in overseeing and guiding strategic and tactical intelligence efforts within the organization's Risk & Intelligence department. The role involves...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

Apply
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

Title: Vice President, Strategic and Threat Intelligence Job Responsibilities: - Serve as a key member of senior management, providing strategic direction on regulatory oversight, emerging risks, and intelligence-driven initiatives. - Lead intelligence operations to identify, analyze, and predict emerging risks, threats, regulatory trends,...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

Apply
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

Title: Director, Market Strategy & Research Job Responsibilities: The Director, Market Strategy & Research is responsible for providing leadership in proactive regulatory risk assessment and the development of regulatory strategy. This role is crucial for enabling the Surveillance department to effectively develop...

Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

Apply
Posted On Sep 29, 26
Full-time 1 views
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

Title: Director, Risk Monitoring Job Responsibilities: - Supervise Risk Monitoring Analysts in their risk monitoring activities, ensuring timely, precise, and quality risk assessments, reports, intelligence, and regulatory responses for a portfolio of firms within an Organizational Business Model or Business Segment. - Oversee...

Posted On Jul 10, 26
Full-time 3 views Experience : Min 6 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
Affirmative Action child Code of Conduct domestic partner family Financial Industry Regulatory Authority FINRA Insurance invention Securities spouse Trademark
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
Affirmative Action child Code of Conduct domestic partner family Financial Industry Regulatory Authority FINRA Insurance invention Securities spouse Trademark

Title: Principal Counsel in Office of General Counsel (OGC), Regulatory Policy Job Responsibilities: The Principal Counsel in the Office of General Counsel (OGC), Regulatory Policy at the organization is tasked with providing legal advice and support throughout the life cycle of new...

Posted On Jul 14, 26
Full-time 1 views
Practice Area:
Corporate - General Corporate - Securities and Capital Markets
Job Tags:
corporate governance Government
Practice Area:
Corporate - General Corporate - Securities and Capital Markets
Job Tags:
corporate governance Government

Title: Director of Policy Engagement & Advocacy Job Responsibilities: The Director of Policy Engagement & Advocacy is tasked with a wide range of responsibilities that revolve around the development, execution, and tracking of the organization's annual policy advocacy plan. This plan is...

Posted On Jul 26, 26
Full-time 2 views Experience : Min 15 yrs required
Practice Area:
Litigation - Appellate Litigation - Securities Litigation - Defense
Job Tags:
Affirmative Action appeals appellate child Code of Conduct domestic partner employment litigation family Financial Industry Regulatory Authority FINRA Insurance invention Litigation Securities special projects spouse Trademark
Practice Area:
Litigation - Appellate Litigation - Securities Litigation - Defense
Job Tags:
Affirmative Action appeals appellate child Code of Conduct domestic partner employment litigation family Financial Industry Regulatory Authority FINRA Insurance invention Litigation Securities special projects spouse Trademark

Title: Vice President and Associate General Counsel - Litigation Job Responsibilities: - Direct and manage the organization's most significant and complex corporate litigation, including class actions, employment litigation, and other high-stakes matters. - Oversee and manage the organization's representation in significant administrative proceedings...

Posted On Jul 30, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - 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:
Corporate - Securities and Capital Markets Corporate - 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 on high-impact, legally and politically complex regulatory initiatives and rule...

Posted On Aug 25, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs Administrative Law Government / Public Law Government - General
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 Administrative Law Government / Public Law Government - General
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 manages a team of 5-8 enforcement attorneys to develop and resolve enforcement cases from inception to completion. The Director is responsible for managing a large and diverse docket of cases, ensuring that each...

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