Regulatory Counsel Jobs in Jericho
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Sponsored Job
Assistant General Counsel, Regulatory
FINRA. | Jericho, NY
Type: Full-Time | Posted Date: Oct 19, 2022
SUMMARY: Assistant General Counsel, Regulatory The candidate will render senior-level 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 one or more areas of legal expertise. With limited oversight, advis...
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Corporate - Compliance Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Jun 20, 2024
SUMMARY: Please note: For your safety and protection, we will only collect your personal information for the purposes of this inquiry. We will not use your personal information for any other purposes. H1: Join EY as a Financial Services - Regulatory Compliance Manager H2: Build a Better Working World w...
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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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Tax - General Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Jun 25, 2024
SUMMARY: Job Title: Tax Senior - Real Estate Tax (East Region Office Locations) Experience: Minimum of 3 years experience providing tax planning services or preparing client work papers and income tax returns Salary Range: $63,420 to $144,300 (not adjusted for geographic differential) Locations: 22 locati...
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Tax - General Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Jun 25, 2024
SUMMARY: Tax Senior - Investment Management - Private Equity (East Coast City Locations) Position Summary: We are seeking a Tax Senior to join our team and be a part of the largest growth area in the tax industry. This role will involve serving clients in partnership taxation and providing tax complian...
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Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Jun 20, 2024
SUMMARY: Financial Services - Regulatory Compliance - Manager The candidate will consistently deliver quality client services. Drive high-quality work products within expected timeframes and on budget. Monitor progress, manage risk and ensure key stakeholders are kept informed about progress and expected ou...
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...
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...
Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Jun 13, 2024
SUMMARY: The Investigations Director, Specialist Team, is a senior-level professional position within the organization, responsible for managing examinations and investigations of broker-dealers’ compliance with applicable rules and regulations, and financial crimes. This role involves developing and super...
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 ...
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 - 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...
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 - 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: ...
Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Apr 22, 2024
SUMMARY: #H1 #H2 Principal Investigator, NCP - Any FINRA Location: Full Time FINRA’s National Cause Program (NCP) is seeking a Principal Investigator to join their team. The NCP is responsible for investigating potential fraud and misconduct in the securities industry, and the Principal Investigat...
Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Apr 09, 2024
SUMMARY: Senior Director, MAP The candidate reports directly to the Vice President, Membership Application Program & Statutory Disqualification. Senior leaders responsible for the management and assessment of firm group membership applications and materiality consultations. Leads and implements the strategi...
Litigation - White Collar Crime & Government Investigations Attorney / Litigation - White Collar Crime & Government Investigations - Defense Attorney / Litigation - White Collar Crime & Government Investigations - Plaintiffs Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Mar 22, 2024
SUMMARY: Organization: FINRA Department: Special Investigations Unit Job Title: Senior Director, Special Investigations Unit Experience: Significant securities, compliance, or financial regulatory experience Salary Information: - California: Minimum Salary $171,900, Maximum Salary $351,200 - Washington...