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Finra Attorney Jobs

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SPONSORED JOB
Job title
Company
FINRA.
Experience
Min 9 yrs required
Location
San Francisco, CA
Posted Date
Feb 28,19
Info Source
Total Views
18
Counsel Duties: Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law. Work independently and with minimal supervision on matters involving common... read more
SPONSORED JOB
Job title
Company
FINRA.
Experience
Min 9 yrs required
Location
Los Angeles, CA
Posted Date
Feb 28,19
Info Source
Total Views
15
Counsel Duties: Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law. Work independently and with minimal supervision on matters involving... read more
SPONSORED JOB
Company
FINRA.
Experience
Min 9 yrs required
Location
Rockville, MD
Posted Date
Mar 07,19
Info Source
Total Views
8
Manager- Main Enforcement The candidate will be responsible for internal and external communications supporting the Enforcement department. Will be responsible for creating content for and managing Enforcement’s intranet, the information source... read more
Company
In-House, Ascensus, Inc.
Experience
Location
Tucson, AZ
Posted Date
Mar 19, 19
Info Source
Employer
Total Views
53
regulatory agencies (e.g., SEC, FINRA, NAFCU, FDIC, OCC, OTS).... Demonstrate a basic knowledge of certain ancillary laws (e.g., securities, estate planning, banking, social security, Medicare, bankruptcy, e-sign). CFP, CTFA, CFA, CEBS preferred. Bachelor’s degree in business, finance, accounting or a... read more
Company
In-House, UBS
Experience
Location
Nashville, TN
Posted Date
Mar 18, 19
Info Source
Employer
Total Views
52
Litigation Attorney The candidate work include:... Defend FINRA securities arbitrations arising out... Puerto Rico from answer through discovery, including Witness interviews; Drafting pleadings; Negotiations with opposing counsel; Management of discovery; Preparation of internal settlement evaluation memoranda, Will be working as... read more
Company
Recruiter, BCG Attorney Search
Experience
1-6 yrs required
Location
Washington, DC
Posted Date
Mar 18, 19
Info Source
Recruiter
Total Views
7
company act regulatory associate attorney with 2-4 years of... Company Act of 1940, Securities Exchange Act of 1934 and related FINRA rules and industry knowledge.... Must have knowledge related to fund prospectuses and regulatory matters with the SEC and FINRA.... read more
Company
Government
Experience
Location
Washington, DC
Posted Date
Mar 18, 19
Info Source
Employer
Total Views
9
Supervisory Attorney-Adviser - SK 17 The... (including the MSRB and FINRA) and variety of investor... and industry groups and meeting regularly with municipal market participants. Identifying and analyzing legislative municipal securities proposals affecting the Commission's programs and activities, assessing their... read more
Company
In-House
Experience
Min 10 yrs required
Location
Missoula, MT
Posted Date
Mar 15, 19
Info Source
Employer
Total Views
5
Wealth Management, Broker/Dealer, SEC, FINRA, State Insurance, State Banking,... and federal rules, regulations, policies and procedures. Actively participate in Bank officer, staff, call meetings, and sales training and professional education and development as determined appropriate by supervisor. Participate in assigned... read more
Company
In-House
Experience
Min 5 yrs required
Location
Houston, TX
Posted Date
Mar 19, 19
Info Source
Employer
Total Views
10
and self-regulatory organizations (e.g., FINRA). Additional responsibilities will include... of federal, state and FINRA rules and regulations. Provide... strategic and tactical legal advice and transaction support on a wide variety of broker-dealer and investment advisory issues. Provide proactive and timely... read more
Company
In-House
Experience
Min 10 yrs required
Location
San Francisco, CA
Posted Date
Mar 19, 19
Info Source
Employer
Must have experience working with financial and securities regulatory agencies (SEC, FINRA, CFTC). Should have experience... managing complex projects while demonstrating exceptional business judgement and building relationships with executive teams. Experience in enterprise software, SaaS, financial services, and/or fintech preferred.... read more
Company
In-House
Experience
Min 3 yrs required
Location
Nashville, TN
Posted Date
Mar 18, 19
Info Source
Employer
Total Views
10
Litigation Attorney The candidate will defend... FINRA securities arbitrations from initial... assessment through pre-trial motions, including; Review of pleadings and written response; Discovery and pre-trial motions; Oversight of internal settlement evaluation memoranda. Should have a JD and are admitted to... read more
Company
In-House, American International Group, ...
Experience
Min 5 yrs required
Location
Woodland Hills, CA
Posted Date
Mar 19, 19
Info Source
Employer
Total Views
28
and self-regulatory organizations (e.g., FINRA). Additional responsibilities will include... of federal, state and FINRA rules and regulations. Provide... strategic and tactical legal advice and transaction support on a wide variety of broker-dealer and investment advisory issues. Provide proactive and timely... read more
Company
Recruiter, BCG Attorney Search
Experience
1-6 yrs required
Location
New York City, NY
Posted Date
Mar 18, 19
Info Source
Recruiter
Total Views
9
company act regulatory associate attorney with 2-4 years of... of 1940, Securities Exchange Act of 1934 and related FINRA rules and industry knowledge.... Skills and knowledge related to fund prospectuses and regulatory matters with the SEC and FINRA is essential.... read more
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