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Counsel, Enforcement

FINRA. - Philadelphia, PA

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

FINRA. - Philadelphia, PA

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 handle increasingly complex and high-risk investigations. ..

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Sponsored Job

Senior Investigator, Surveillance

FINRA. - Philadelphia, PA

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 handle increasingly complex and high-risk investigations. ..

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Communications Manager, Enforcement

LawCrossing - Philadelphia, PA

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 ...

Sponsored Job

Counsel, Enforcement

LawCrossing - Philadelphia, PA

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 ...

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Principal Analyst, Risk Monitoring - Medium Diversified

LawCrossing - Philadelphia, PA

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, Enforcement

LawCrossing - Philadelphia, PA

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 - Philadelphia, PA

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 - Philadelphia, PA

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 ...

Principal Counsel, Regulatory

LawCrossing - Philadelphia, PA

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 ...

Counsel, Enforcement

LawCrossing - Philadelphia, PA

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 ...

Fraud Investigator Graduate Internship - Summer 2022

LawCrossing - Philadelphia, PA

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

Counsel, Data Privacy and Protection

LawCrossing - Philadelphia, PA

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 ...

Counsel, Enforcement

LawCrossing - Philadelphia, PA

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 Director: Employee Relationship - Investigations M...

LawCrossing - Philadelphia, PA

Associate Director: Employee Relationship - Investigations Management Duties: Lead the team of investigators and provide everyday management and oversight to the Employee Relations and Investigations ...

Principal Counsel, Regulatory

LawCrossing - Philadelphia, PA

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 ...

Regulatory Counsel

LawCrossing - Philadelphia, PA

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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