Finra

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. This is senior-level professional work in which incumbents are developing their roles, increasing their skills, assuming increased responsibility, and working under general guidance. Essential Job Functions: With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and sensitive regulatory initiatives and rule changes under consideration by the Board. Assist in briefing and communicating complex and sensitive regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines. Serve as a source of legal expertise within FINRA in many subject areas and provide expert advice on questions in these subject areas. Prepare Board materials that contain...

About FINRA FINRA is dedicated to protecting investors and ensuring market integrity. As an independent, not-for-profit organization, we oversee brokerage firms and exchange markets, writing and enforcing rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the United States. Every day, we work to safeguard the investing public against fraud and bad practices, making us a vital force in maintaining trust and fairness in America's financial markets. The Opportunity Step into a pivotal role where contract expertise meets strategic partnership. As Principal Analyst in Transparency Services Vendor and Contract Management, you'll serve as the central liaison orchestrating complex agreements that power FINRA's market transparency operations. This isn't just contract administration—it's strategic relationship management across the complete contract lifecycle. You'll negotiate with vendors, collaborate with legal and senior...

The Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice and support in connection with the complete life cycle of new regulatory initiatives and serves as subject matter resource in one or more areas of legal expertise. This position is an experienced individual contributor who demonstrates increasing subject matter expertise and independence. Essential Job Functions: Assists in providing advice to the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board. Assists in briefing and communicating regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines. Serves as a source of legal expertise within FINRA in subject areas and provides advice on questions in these subject areas. Prepares Board materials that contain sophisticated analyses and discussions of competing policy or...

The Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice and support in connection with the complete life cycle of new regulatory initiatives and serves as subject matter resource in one or more areas of legal expertise. This position is an experienced individual contributor who demonstrates increasing subject matter expertise and independence. Essential Job Functions: Assists in providing advice to the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board. Assists in briefing and communicating regulatory initiatives to senior executives of FINRA. Must be able to provide such analysis under urgent deadlines. Serves as a source of legal expertise within FINRA in subject areas and provides advice on questions in these subject areas. Prepares Board materials that contain sophisticated analyses and discussions of competing policy or...

The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters. Essential Job Functions: Determine and execute an effective risk-based legal strategy to assess the record fairly. Collaborate with investigative staff to plan investigations and fully develop the record. Research and identify the legal requirements for charges. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Play a leading role in advancing settlement discussions with respondents. Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations. Draft clear and organized analysis, and effective advocacy documents. Plan for and conduct effective on-the-record testimony of witnesses. Draft precise and transparent settlement documents....

The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters. Essential Job Functions: Determine and execute an effective risk-based legal strategy to assess the record fairly. Collaborate with investigative staff to plan investigations and fully develop the record. Research and identify the legal requirements for charges. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Play a leading role in advancing settlement discussions with respondents. Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations. Draft clear and organized analysis, and effective advocacy documents. Plan for and conduct effective on-the-record testimony of witnesses. Draft precise and transparent settlement documents....

The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters. Essential Job Functions: Determine and execute an effective risk-based legal strategy to assess the record fairly. Collaborate with investigative staff to plan investigations and fully develop the record. Research and identify the legal requirements for charges. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Play a leading role in advancing settlement discussions with respondents. Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations. Draft clear and organized analysis, and effective advocacy documents. Plan for and conduct effective on-the-record testimony of witnesses. Draft precise and transparent settlement documents....

The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters. Essential Job Functions: Determine and execute an effective risk-based legal strategy to assess the record fairly. Collaborate with investigative staff to plan investigations and fully develop the record. Research and identify the legal requirements for charges. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Play a leading role in advancing settlement discussions with respondents. Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations. Draft clear and organized analysis, and effective advocacy documents. Plan for and conduct effective on-the-record testimony of witnesses. Draft precise and transparent settlement documents....

The Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters. Essential Job Functions: Determine and execute an effective risk-based legal strategy to assess the record fairly. Collaborate with investigative staff to plan investigations and fully develop the record. Research and identify the legal requirements for charges. Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case. Play a leading role in advancing settlement discussions with respondents. Play a leading role in conducting litigation preparation and contributing substantively to litigation, including by drafting complaints and conducting witness examinations. Draft clear and organized analysis, and effective advocacy documents. Plan for and conduct effective on-the-record testimony of witnesses. Draft precise and transparent settlement documents....

Financial Industry Regulatory Authority, Inc. seeks a Lead Developer in Test in Philadelphia, PA. Hours: Monday – Friday, 8:00 am to 5:00 pm Summary of Duties: Develop and execute software testing components, develop automation solutions and perform manual tests as needed throughout the SDLC. Ownership of automation architecture (both functional and performance) and set up test frameworks/infrastructure. Oversee/manage reviews of system architecture, code and design documents for specific portfolio. Identify project risks and develop mitigation strategies. Perform Independent Assurance on all SDLC phases in a project. Actively participate in collaborative resolution of defects including root cause analysis of production incidents. Continually look for ways to innovate and improve testing process to gain efficiencies. Provide business domain expertise in the project involved. Ensure compliance with FINRA technology policies and standards. Ensure...