Your search results
64 jobs found for

Finra Attorney Jobs

Related Job Titles
Get daily email updates for your search: "finra attorney jobs".
Job info
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Phoenix, AZ
Posted Date
Nov 14, 19
Info Source
Employer
Total Views
170
Attorney Responsibilities: Handling of FINRA arbitration matters and regulatory... to regulatory examinations; The attorney serving in this position... will be part of a fast-paced, dynamic work-environment, requiring strong legal and analytical skills; a creative approach to problem solving; a demonstrated... read more
Company
In-House
Experience
Min 2 yrs required
Location
Overland Park, KS
Posted Date
Nov 15, 19
Info Source
Employer
Total Views
66
products). Must be computer literate (e.g., Microsoft Excel, PowerPoint, etc.). FINRA Series 6 and 63,... and state life, accident and health insurance licensing in addition to meeting all regulatory and compliance guidelines is required. Certifications such as CFP is desirable.... read more
Company
In-House, Edward Jones
Experience
Location
Saint Louis, MO
Posted Date
Nov 15, 19
Info Source
Employer
Total Views
104
securities law, litigation, and FINRA arbitrations is preferred depending... regulatory issues in the securities industry, including ones involving the SEC, FINRA, and state securities regulators... will be particularly beneficial. Demonstrated ability to independently analyze and resolve complex matters is required.... read more
Company
In-House
Experience
Min 7 yrs required
Location
Wilmington, DE
Posted Date
Nov 15, 19
Info Source
Employer
Total Views
13
due diligence for transactions. Coordinate and complete M&A-related filings (SEC, NYSE, HSR) and respond to relevant inquiries (FINRA). Proven ability to meet... stringent deadlines, adapt to changing priorities, and balance multiple tasks while operating in a fast-paced and dynamic environment.... read more
Company
In-House
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Nov 14, 19
Info Source
Employer
Total Views
11
including, those pursuant to FINRA Rule 5110 and FINRA... Rule 5123, as well... as certain compliance related filings; Support post-fundraise closing mechanics, operations, and reviews (including voting, transfers, distributions, and liquidations); Assist with the management of portfolio company reporting and... read more
Company
In-House
Experience
Min 5 yrs required
Location
Menlo Park, CA
Posted Date
Nov 15, 19
Info Source
Employer
Total Views
17
Dealer Counsel The candidate day-to-day will involve: Navigating complex regulatory frameworks to design innovative financial products and services. Identifying and drafting necessary changes to the firm’s systems and procedures to meet the requirements of new rules/regulations. Drafting agreements, policies and... read more
Company
Recruiter, BCG Attorney Search
Experience
4-20 yrs required
Location
Morristown, NJ
Posted Date
Nov 14, 19
Info Source
Recruiter
Total Views
25
Morristown office of our client, a Chambers ranked law firm, is actively seeking associates to join our Securities Litigation Group. The candidate should have 5+ years of securities litigation, arbitration, regulation and/or investigations. FINRA experience is preferred.... read more
Company
In-House, Alger
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Nov 14, 19
Info Source
Employer
Total Views
102
Attorney The candidate will provide... liaising with Board of Trustees on advisory and distribution matters. Assist the legal and compliance departments with SEC, FINRA and European rules and... regulations. Work on general corporate matters, private fund formation and financing deals.... read more
Company
In-House
Experience
Min 1 yrs required
Location
Addison, TX
Posted Date
Nov 15, 19
Info Source
Employer
initiatives. Juris Doctor required. FINRA Series 7 and 66... required; 63 and 65 preferred. Must have knowledge of wealth management, including estate, retirement, and business planning. Should have demonstrated experience analyzing complex estate and business planning documents, including familiarity with... read more
Company
Recruiter, BCG Attorney Search
Experience
3-10 yrs required
Location
White Plains, NY
Posted Date
Nov 14, 19
Info Source
Recruiter
Total Views
4
Total Applies
1
client seeks litigation associate attorney with 4-8 years of... taking and/or defending depositions, preparing for trial and/or trial experience. Should have experience handling cases involving insurance agents/brokers, securities agents/brokers, FINRA arbitrations, legal malpractice, labor... and employment, accountants, and commercial litigation.... read more
Narrow Your Search Results - Try Advanced Search

Search All Finra Attorney Jobs