Legal Counsel Securities Jobs in Plattsburgh
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Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Jun 10, 2024
SUMMARY: Counsel, Enforcement The candidate will resolve non-complex Enforcement matters, and contribute meaningful high quality work for large complex matters. Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to asse...
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Corporate - Securities and Capital Markets Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Jun 27, 2024
SUMMARY: Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/invest...
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Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Jun 13, 2024
SUMMARY: Principal Analyst, Risk Monitoring - Full Time Location: Any FINRA Office Job Requisition ID: R-008120 Overview: This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with...
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Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Jun 10, 2024
SUMMARY: H1: Director, Risk Monitoring - Capital Markets - Any FINRA Location H2: Essential Job Functions: - Supervise Risk Monitoring Analysts in daily activities and ensure timely, precise, and quality risk assessments and reports. - Develop risk-based Regulatory Responses and evaluate adequacy of firm ...
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Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: May 24, 2024
SUMMARY: The Assistant General Counsel, Regulatory will provide senior-level legal advice and support in connection with new regulatory initiatives, serve as a subject matter resource in one or more areas of legal expertise, and assist in briefing and communicating complex regulatory initiatives to senior ex...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: May 08, 2024
SUMMARY: The Principal Counsel, Enforcement position is a full-time role within the organization with a minimum of seven years of relevant legal experience in the financial regulatory space. This role is responsible for performing rigorous assessments and effective advocacy in Enforcement matters. The salary...
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: May 19, 2024
SUMMARY: Senior Litigation Counsel, Enforcement - Any FINRA Location The Senior Litigation Counsel, Enforcement role is a senior level position within FINRA, the Financial Industry Regulatory Authority. This position is responsible for representing FINRA in complex disciplinary proceedings and appeals, as...
Social Security Law Attorney in Plattsburgh, NY
Plattsburgh, NY
Type: Full Time | Posted Date: May 28, 2024
SUMMARY: Organization: Rural Law Center of New York Job Title: Staff Attorney Experience: Attorney in good standing with active registration with the Unified Court System Salary: Commensurate with experience Start Date: Flexible Location: Plattsburgh, NY (hybrid opportunities available) About the Organizati...
Litigation - General (consumer) Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Apr 11, 2024
SUMMARY: Senior Litigation Counsel, Enforcement - Any FINRA Location Salary Information: - Minimum salary ranges from $127,300 to $152,700, depending on location - Maximum salary ranges from $246,600 to $296,100, depending on location Job Title: Senior Litigation Counsel Experience Requirements: ...