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United States
Posted On Jul 03, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Contract Law Corporate - Compliance Real Estate - General Real Estate - Finance Real Estate- Commercial Transactions Real Estate - Purchase and Sale (Commercial) Real Estate - Leasing Finance - Financial Services Regulation Finance - General Corporate - General
Job Tags:
finance Government Insurance licensing LLC social security Software spectrum
Practice Area:
Corporate - Contract Law Corporate - Compliance Real Estate - General Real Estate - Finance Real Estate- Commercial Transactions Real Estate - Purchase and Sale (Commercial) Real Estate - Leasing Finance - Financial Services Regulation Finance - General Corporate - General
Job Tags:
finance Government Insurance licensing LLC social security Software spectrum

Title: Paralegal Job Responsibilities: The paralegal at the organization will work under the direct supervision of the General Counsel and will be responsible for a variety of tasks that support operational, compliance, transactional, and administrative matters. The main responsibilities include: -...

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Posted On Jul 03, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Administrative Law Government - General Government / Public Law Corporate - Contract Law Corporate - Compliance Corporate - General
Job Tags:
finance Government Insurance licensing LLC social security Software spectrum
Practice Area:
Administrative Law Government - General Government / Public Law Corporate - Contract Law Corporate - Compliance Corporate - General
Job Tags:
finance Government Insurance licensing LLC social security Software spectrum

Title Paralegal Job Responsibilities The paralegal at the organization operates under the direct supervision of the General Counsel and is responsible for supporting operational, compliance, transactional, and administrative matters. Key responsibilities include: - Collecting, organizing, submitting, and tracking government licensing and regulatory...

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Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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

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Posted On Jun 01, 26
Full-time 7 views Experience : Min 6 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
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.) Litigation - Securities Litigation - Plaintiffs
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse

Title: Counsel, Enforcement Job Responsibilities: The Enforcement Counsel is tasked with resolving non-complex enforcement matters and contributing high-quality work to larger, complex cases. Key responsibilities include: - Resolving non-complex enforcement matters through rigorous assessment and effective advocacy. - Executing a risk-based...

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Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Jul 26, 26
Full-time 1 views Experience : Min 5 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

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...

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Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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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 tasked with leading a team of investigators focusing on crypto-related investor protection risks, market conduct rules, and regulatory obligations. The...

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Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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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

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: The Director of the Crypto Fraud & Market Abuse team is tasked with leading a team of investigators focused on the detection, investigation, and mitigation of crypto-related fraud and market abuse...

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Posted On Aug 25, 26
Full-time Experience : Min 10 yrs required
Practice Area:
Administrative 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:
Administrative 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 Enforcement Director is tasked with managing a team of 5-8 enforcement attorneys who are responsible for developing and resolving enforcement cases from inception to completion. The Director oversees a diverse docket of cases, ensuring each outcome...

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Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Jun 21, 26
Full-time 7 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: As a Principal Risk Monitoring Analyst at the organization, you will be a vital part of safeguarding the integrity of the . securities markets. The role involves identifying emerging risks, assessing complex member firms, and...

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Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Aug 12, 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...

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Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Aug 31, 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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Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Sep 01, 26
Full-time 1 views Experience : 3-5 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 organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks with minimal supervision from a Risk Monitoring Director or designee. - Collaborate with...

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Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

Apply
Posted On Sep 08, 26
Full-time 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, offering 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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