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Full-time 8 views Experience : Min 6 yrs required

Title: Counsel, Enforcement Job Responsibilities: - Resolve non-complex enforcement matters through rigorous assessment and effective advocacy. - Execute risk-based legal strategies to fairly assess cases, recommend outcomes, negotiate settlements, and assist in litigation preparation. - Achieve transparent enforcement outcomes, identify relevant considerations, recommend charges,...

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Posted On Jul 26, 26
Full-time Experience : Min 5 yrs required

Asset Investigations - Tokenized Securities Markets Job Responsibilities: The Senior Principal... Investigator in Crypto Asset Investigations is tasked with conducting high-complexity investigations into crypto asset activities of organization member firms and their associated persons. This role requires providing subject matter expertise to...

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Posted On Jul 26, 26
Full-time Experience : Min 12 yrs required

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, FINRA, the SEC, and other regulatory bodies. - Provide expert...

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Posted On Jun 10, 26
Full-time 4 views Experience : Min 10 yrs required

Title: Senior Director, Market Strategy & Research Job Responsibilities: The Senior Director, Market Strategy & Research is tasked with providing critical leadership in regulatory risk assessment and the development of regulatory strategy. This role supports the Surveillance department in aligning regulatory strategies...

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Full-time 17 views Experience : Min 5 yrs required

Title: Bankruptcy Attorney Job Responsibilities: The Bankruptcy Attorney will be a vital member of the advocacy staff at the organization, focusing on economic and racial justice. The primary responsibilities include: - Developing fluency in the bankruptcy code as a tool to address systemic...

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Full-time 7 views Experience : Min 5 yrs required

Title: Energy and Utilities Unit Attorney Job Responsibilities: The Energy and Utilities Unit Attorney at the organization is tasked with advocating for economic justice for low-income and other disadvantaged communities, particularly focusing on energy affordability. The attorney will support state advocates in...

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Posted On Jun 21, 26
Full-time 10 views

several core responsibilities aimed at safeguarding the integrity of . securities markets. The primary duties... include: - Leading sophisticated risk assessments of member firms, including those with complex or elevated risks, with minimal supervision. - Driving strategic intelligence by analyzing regulatory developmen...

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Posted On Jun 25, 26
Full-time 4 views Experience : Min 15 yrs required

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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Posted On Jul 20, 26
Full-time 7 views Experience : 4-6 yrs required

Title: Paralegal - Elder, Health, and Disability Unit Job Responsibilities: The organization is seeking a long-term temporary paralegal for a one-year position within the Elder, Health, and Disability Unit. The primary responsibilities for this role include: - Client representation in administrative hearings related...

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Posted On Jul 26, 26
Full-time 1 views

an expert in the field of crypto assets and blockchain technology, applying specialized knowledge to tackle complex regulatory challenges. Key responsibilities include: - Independently leading investigations related to tokenized securities and other crypto asset... activities of member firms and associated persons....

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Posted On Aug 12, 26
Full-time 1 views Experience : 3-5 yrs required

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...

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Posted On Aug 12, 26
Full-time 1 views Experience : Min 10 yrs required

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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Posted On Aug 20, 26
Full-time Experience : 2-10 yrs required

Title: Director, Investigations - Crypto Exam and Regulatory Conduct Job Responsibilities: The Director of the Crypto Exam and Regulatory Conduct team is tasked with overseeing the management and execution of investigations related to crypto-related investor protection risks, market conduct rules, and regulatory...

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Posted On Aug 20, 26
Full-time 1 views Experience : 2-10 yrs required

oversight, direction, and day-to-day management of a team of investigators focused on crypto-related fraud and market abuse within the securities industry. This includes ensuring... investigations are thorough, strategically sound, and supported by clear and sufficient evidence using accepted and reliabl...

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Full-time Experience : Min 10 yrs required

Title: Director, Enforcement Job Responsibilities: The Director of Enforcement is responsible for managing a team of 5-8 Enforcement attorneys, overseeing the development and resolution of enforcement cases from inception to completion. The Director ensures that each case is supported by accurate and...

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Posted On Aug 31, 26
Full-time Experience : Min 10 yrs required

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...

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Posted On Sep 01, 26
Full-time

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting interactions with internal and external parties. - Collaborate with internal departments to...

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Posted On Sep 08, 26
Full-time Experience : Min 12 yrs required

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 drive intelligence-led initiatives with measurable impact across the organization. - Provide...

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