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Regulatory Counsel

FINRA. - New Orleans, LA

Regulatory Counsel The candidate will render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in ..

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Counsel, Enforcement

FINRA. - New Orleans, LA

Counsel, Enforcement 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 advocacy. ..

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Sponsored Job

Counsel, Enforcement

FINRA. - New Orleans, LA

Counsel, Enforcement 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 advocacy. ..

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Senior Investigator, Surveillance

LawCrossing - New Orleans, LA

Senior Investigator, Surveillance The candidate conducts reviews and investigations of possible violations of firm rules and federal securities laws with moderate supervision. Demonstrates ability to ...

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Senior Investigator, Surveillance

LawCrossing - New Orleans, LA

Senior Investigator, Surveillance The candidate conducts reviews and investigations of possible violations of firm rules and federal securities laws with moderate supervision. Demonstrates ability to ...

Sponsored Job

Communications Manager, Enforcement

LawCrossing - New Orleans, LA

Communications Manager, Enforcement The candidate will be responsible for internal and external communications supporting the Enforcement department. Will create content for and manage Enforcement's ...

Counsel, Enforcement

LawCrossing - New Orleans, LA

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 ...

Principal Counsel, Regulatory

LawCrossing - New Orleans, LA

Principal Counsel, Regulatory The candidate will render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter ...

Principal Analyst, Risk Monitoring - Medium Diversified

LawCrossing - New Orleans, LA

Principal Analyst, Risk Monitoring - Medium Diversified The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Will ...

Counsel, Data Privacy and Protection

LawCrossing - New Orleans, LA

Counsel, Data Privacy and Protection Duties: Work closely with the Senior Director and Counsel, Data Privacy & Protection, provides legal advice on sophisticated and high-level initiatives throughout ...

Principal Counsel, Regulatory

LawCrossing - New Orleans, LA

Principal Counsel, Regulatory The candidate will render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter ...

Fraud Investigator Graduate Internship - Summer 2022

LawCrossing - New Orleans, LA

Fraud Investigator Graduate Internship - Summer 2022 The intern will assist investigators and managers on investigations involving potentially fraudulent or manipulative activity in securities listed ...

Director, MA and SD Operations

LawCrossing - New Orleans, LA

Director, MA and SD Operations The candidate reports directly to the Vice President, Membership Application Program and Statutory Disqualification. Provides strategic leadership and support to the ...

Counsel, Enforcement

LawCrossing - New Orleans, LA

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 ...

Counsel, Enforcement

LawCrossing - New Orleans, LA

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 ...

Counsel, Enforcement

LawCrossing - New Orleans, LA

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 ...

Senior Director, Trading and Execution

LawCrossing - New Orleans, LA

Senior Director, Trading and Execution Duties: Provides operational support to the SVP, T&E in the administration of the T&E Department. Works closely with the SVP and the Department's senior ...

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