Back To Search Counsel, Enforcement Legal
FINRA. - Atlanta, GA
Counsel, Enforcement Legal The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Will resolve non-complex enforcement matters based on rigorous assessment and effective ..
Examination Manager, T&E Equities / Options
FINRA. - Atlanta, GA
Examination Manager, T&E Equities / Options 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 ..
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Counsel, Enforcement Legal
FINRA. - Atlanta, GA
Counsel, Enforcement Legal Duties: Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly. Recommend a fair and effective ..
Senior Investigator, Insider Trading Investigations
LawCrossing - Atlanta, GA
Senior Investigator, Insider Trading Investigations The candidate conducts reviews and investigations of unusual market activity for evidence of potential insider trading and for possible violations ...
Director And Advisor, Market Regulation And Transparency Ser...
LawCrossing - Atlanta, GA
Director and Advisor, Market Regulation and Transparency Services The candidate will report to the Senior Vice President and Chief of Staff. Will provide expert advice to the senior leadership team of ...
Associate Principal Analyst, Risk Monitoring
LawCrossing - Atlanta, GA
Associate Principal Analyst, Risk Monitoring The candidate reports to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks. Conducts risk ...
Associate Principal Investigator, Market Fraud Investigation...
LawCrossing - Atlanta, GA
Associate Principal Investigator, Market Fraud Investigations The candidate conducts reviews and investigations of unusual market activity for evidence of potential insider trading and for possible ...
Counsel, Enforcement
LawCrossing - Atlanta, GA
Counsel, Enforcement The candidate will resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Will execute an effective risk-based legal strategy to assess the ...
Associate Principal Investigator, NCP
LawCrossing - Atlanta, GA
Associate Principal Investigator, NCP Duties: Responsible for conducting extensive background searches of company member firms and registered representatives in support of open firm investigations in ...
Associate Principal Analyst Risk Monitoring - Retail Firms
LawCrossing - Atlanta, GA
Associate Principal Analyst Risk Monitoring - Retail Firms The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Will ...
Trading and Execution - Associate Principal Analyst, Risk Mo...
LawCrossing - Atlanta, GA
Trading and Execution - Associate Principal Analyst, Risk Monitoring The candidate will conduct risk monitoring activities and ongoing risk assessments of the organization's members reporting to a ...
Principal Analyst, Risk Monitoring
LawCrossing - Atlanta, GA
Principal Analyst, Risk Monitoring The candidate will conduct risk monitoring activities and ongoing risk assessments of the members reporting to a Risk Monitoring Director. Will report to a Risk ...
Senior Director, OFAC and US Law Enforcement Liaison
LawCrossing - Atlanta, GA
Senior Director, OFAC and US Law Enforcement Liaison The candidate will build and lead Member Supervision's National Cause and Financial Crimes (NCFC) - Complex Investigations and Intelligence ...
Counsel, Enforcement Legal
LawCrossing - Atlanta, GA
Counsel, Enforcement Legal The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Will resolve non-complex enforcement ...
Senior Specialist, Consolidated Audit Trail Compliance
LawCrossing - Atlanta, GA
Senior Specialist, Consolidated Audit Trail Compliance The candidate will assist the Chief Compliance Officer (CCO) and Deputy CCO oversee and manage compliance with all regulatory requirements ...
Associate Principal Investigator, National Cause Program
LawCrossing - Atlanta, GA
Associate Principal Investigator, National Cause Program The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the ...
Principal Investigator, NCP - IRG
LawCrossing - Atlanta, GA
Principal Investigator, NCP - IRG The candidate will perform Intake and Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of ...