11 jobs found

Reporting to the Senior Vice President and Chief of Staff/Deputy General Counsel, the Director of the Offices of Chief Legal Officer (OCLO) Operations provides expert advice to the senior leadership team of OCLO, including the Chief Legal Officer (CLO) and the Chief of Staff, on a full range of operational, project management, and personnel issues, and their associated communications. This role enables the senior leadership team to effectively execute against, and convey, the OCLO goals and strategic and operational priorities. Essential Job Functions: Act as a key advisor and “behind-the-scenes” utility for the Chief of Staff, trusted and able to act on behalf, and communicate the perspectives, of the Chief of Staff in a variety of circumstances in internal and external settings. Draw from perspectives throughout the organization, but always remain guided by the long-term strategic goals of the CLO and senior leadership team of OCLO. Address a wide range of complex...

Reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. The Senior Analyst conducts investigations of cases which have been identified as potential areas of concern relating to private placements and other corporate financing activities. This is intermediate-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision. Essential Job Functions: Conducts independent investigations of potential rule violations relating to corporate financing activities, including the review of private placement filings, received as a filing, or complaints or inquiries from the public, members, other FINRA offices or other regulatory organizations. In conducting complaint or inquiry investigations, reviews materials, gathers additional facts, provides written comments, and summarizes the results into an investigative memorandum. Provides support...

Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring work quality, quantity and timeliness, by providing training and communicating information. Conducts complex reviews and spot-checks on an as-needed basis. Essential Job Functions: Reviews a full workload consisting of highly complex communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program; provides written comments on whether this material complies with applicable rules; and, provides revisions necessary to bring the sales material into compliance. Responds to letters and telephone inquiries regarding filing reviews and comments. Helps mentor staff members as needed and provides advice, coaching and on-going training Assures quality and timeliness of staff member’s work by monitoring and...

The Project Manager, Litigation Support will provide investigation, technical, and e-discovery support for Enforcement reviews and investigations, and specialized litigation support to Enforcement litigation staff. This role is part of Enforcement Investigations’ Forensic Investigations and Litigation Support Team (“FILS”). Essential Job Functions: Provide technical and e-discovery support for Enforcement investigations and litigations, and will serve as a technical resource for special technology projects involving litigation support and analytic investigation tools. Demonstrate proficiency in the use of the e-discovery tools(s) in use and other Enforcement litigation technologies and applications, and this person will adhere to all established departmental policies and procedures.  Act as a project manager on assigned cases and will apply good judgment, good decision-making, and effective project management practices, such as being proactive and engaged with each...

The Associate Principal Regulatory Training Specialist is responsible for designing, developing, and delivering learning solutions to FINRA Enforcement staff. This position will have advanced technical skills in the area of adult learning. This position will also work with peer training specialists on the Enforcement Training Team in ensuring the department is delivering high-quality learning solutions that support FINRA’s mission of protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets. Essential Job Functions: Lead new hire onboarding and junior staff development programs, to include researching, designing, implementing, and assessing the programs. Incorporate mentoring/coaching components and teambuilding strategies. Design and deliver learning solutions, especially in support of software/applications, in accordance with adult-learning principles, as identified through Enforcement programs, roadmaps, and...

With regular supervision and guidance, reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Essential Job Functions: Reviews communications with the public including retail and institutional sales material submitted by firms pursuant to the filings review program, provides written comments on whether this material complies with applicable rules and provides revisions necessary to bring the sales material into compliance. Responds to letters and telephone inquiries regarding filing reviews and comments. Attends weekly and monthly staff meetings. Responds to general telephone inquiries from firms, attorneys, advertising agencies, FINRA District Offices and regulatory agencies. Completes the Advertising Regulation Training Program and demonstrates knowledge acquired by successful application of the concepts covered by the training in the review process. Learns and keeps...

Handle the complete life cycle of appellate matters within FINRA and on appeal to the SEC; provide expert knowledge to the National Adjudicatory Council (NAC) and Board of Directors on all appellate matters and related issues by advising them on factually and legally complex appellate matters. Essential Job Functions: Serves as attorney-advisor to the National Adjudicatory Council (NAC) in FINRA disciplinary proceedings, conducting a thorough review of all assigned cases to determine whether the findings and sanctions are supported by the law and relevant facts and providing high-quality legal advice and guidance to members of the NAC. In connection with NAC appeals, identifies and engages in appropriate legal research on substantive legal matters and procedural issues, counsels NAC Subcommittees, disposes of all pre-hearing matters, conducts appeal hearings, and drafts memoranda and proposed and final decisions. Defends NAC decisions that are appealed to the...

This position is responsible for directing and managing the complete life cycle of the adoption of new regulatory requirements. The incumbent provides expert knowledge to the Board of Governors and senior management, advising them on high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes. This position is recognized by FINRA and the industry as the top/ primary expert in a particularly complex and unique subject matter area(s) pertaining to regulatory policy, rendering independent expert advice in these areas. The incumbent also would act under the supervision of the Senior Vice President and Director of Capital Markets as the primary coordinator of the policy and rulemaking functions within the Capital Markets Group of OGC, including overseeing preparation of board and committee materials, regulatory notices, rule filings, multiple NMS Plan participation, SEC outreach and economic impact assessments of rulemakings. The incumbent must...

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 one or more areas of legal expertise, primarily in equity and fixed income securities, trading practices and market structure, with an emphasis on OGC support to FINRA as a participant in the Consolidated Audit Trail (CAT) NMS Plan. This is professional work in which incumbents are defining their assigned roles, increasing their skills, and working under the general guidance of senior attorneys. Essential Job Functions: Advise the Board of Governors and FINRA advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board.  Assist in briefing and providing communication on complex and sensitive regulatory initiatives to senior executives of FINRA.  Must be able to provide such analysis under urgent deadlines. Serve as legal resource within FINRA in one or more...

COMPANY BACKGROUND   Since 1851, MassMutual’s commitment has always been to help people protect their families, support their communities, and help one another. This is why we want to inspire people to Live Mutual. We’re people helping people.   A career with us means you will work alongside exceptional people and be empowered to reach your professional and personal goals. Our employees are the foundation of what makes MassMutual a strong, stable and ethical business. We seek and value unique and varied perspectives and experiences because we believe we are stronger when all voices are heard. We invite you to bring your bright, innovative ideas to MassMutual as we continue to help millions of Americans rely on each other.   Together, we’re stronger.   Ranked No. 100 in the annual FORTUNE ® 500 Ranking (FORTUNE ® Magazine, May 2020), MassMutual has been recognized as a World’s Most Ethical Company by Ethisphere. We are guided by a single purpose: We help...

COMPANY BACKGROUND Since 1851, MassMutual’s commitment has always been to help people protect their families, support their communities, and help one another. This is why we want to inspire people to Live Mutual. We’re people helping people. A career with us means you will work alongside exceptional people and be empowered to reach your professional and personal goals.  Our employees are the foundation of what makes MassMutual a strong, stable and ethical business.  We seek and value unique and varied perspectives and experiences because we believe we are stronger when all voices are heard. We invite you to bring your bright, innovative ideas to MassMutual as we continue to help millions of Americans rely on each other.    Together, we’re stronger. Ranked No. 100 in the annual FORTUNE ® 500 Ranking, MassMutual has been recognized as a World’s Most Ethical Company by Ethisphere.   We are guided by a single purpose:  We help people secure their...