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Finra Attorney Jobs

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SPONSORED JOB
Company
FINRA.
Experience
2-6 yrs required
Location
Rockville, MD
Posted Date
Aug 15,18
Info Source
Total Views
6
Senior attorney Counsel - Main Enforcement Duties:... Plan for and participate in various tasks related to investigations pertaining to sales practice and trading violations by member firms and associated persons... read more
SPONSORED JOB
Company
FINRA.
Experience
2-6 yrs required
Location
New York City, NY
Posted Date
Aug 15,18
Info Source
Total Views
4
Senior attorney Counsel - Sales Practice Enforcement Duties:... Plan for and participate in various tasks related to investigations pertaining to sales practice and trading violations by member firms and associated persons... read more
SPONSORED JOB
Company
FINRA.
Experience
2-6 yrs required
Location
Rockville, MD
Posted Date
Aug 15,18
Info Source
Total Views
6
Senior attorney Counsel - Main Enforcement Duties:... Plan for and participate in various tasks related to investigations pertaining to sales practice and trading violations by member firms and associated persons including... read more
Company
In-House
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Aug 17, 18
Info Source
Employer
Total Views
17
in a similar role. FINRA Registrations: Series 7, 66,... 8 or 9 and 10 required OR Series 7, 66 with an advanced law degree. Strong international exposure required. Strong understanding of AML/ OFAC regulations required. Must have strong understanding of... read more
Company
In-House, Transamerica
Experience
Min 10 yrs required
Location
Baltimore, MD
Posted Date
Aug 17, 18
Info Source
Employer
Total Views
66
conduct examinations, SEC and/or FINRA audits and examinations, and... a Bachelor's degree. Appropriate FINRA securities and/or state life... insurance licenses may be required, as appropriate. Law degree, CLU, FLMI or legal assistant degree is a plus. Must have 10+ years... read more
Company
Law Firm, Seyfarth Shaw LLP
Experience
Min 5 yrs required
Location
Atlanta, GA
Posted Date
Aug 13, 18
Info Source
Employer
Total Views
54
L&E FINRA Arbitration Counsel The candidate... financial-services industry clients in FINRA arbitrations or related matters,... Strong familiarity with the FINRA arbitration process required. Top... law firm experience is preferred. Excellent academic credentials are required. Must be admitted and in good... read more
Company
In-House, Western & Southern Financial G...
Experience
Min 4 yrs required
Location
Cincinnati, OH
Posted Date
Aug 17, 18
Info Source
Employer
Total Views
113
services for SEC and FINRA regulated entities, reporting to... Act of 1940, and FINRA rules and regulations. Analyzes... regulatory changes and prepares impact reports, and works with business units to implement processes and procedures. Stays current on industry developments and... read more
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Jersey City, NJ
Posted Date
Aug 20, 18
Info Source
Employer
Total Views
48
investment advisers. Handling of FINRA arbitration matters and regulatory... regulators at the SEC, FINRA or other similar agencies.... essential. First-chair experience in FINRA arbitrations or regulatory proceedings... is preferred. Must have Juris Doctorate degree. Must be a member in good... read more
Company
Recruiter, BCG Attorney Search
Experience
2-8 yrs required
Location
New York City, NY
Posted Date
Aug 13, 18
Info Source
Recruiter
Total Views
17
New York City office of our client seeks securities attorney with 2-5 years of... litigation experience. The candidate should have NY Bar admission for diverse practice including arbitration litigation and commercial litigation. Experience with FINRA is a plus.... read more
Company
In-House
Experience
6-8 yrs required
Location
New York City, NY
Posted Date
Aug 10, 18
Info Source
Employer
Total Views
8
Private Side business; Strong understanding of the Investment Advisers Act of 1940; familiarity with FINRA and CFTC/NFA rules advantageous.... Bachelor’s Degree is essential. Must have 6-8 years’ compliance-related experience, preferably in alternative investments. JD or other relevant advanced degree helpful.... read more
Company
Recruiter, BCG Attorney Search
Experience
3-8 yrs required
Location
Morristown, NJ
Posted Date
Aug 09, 18
Info Source
Recruiter
Total Views
4
Morristown office of our client seeks commercial litigation attorney with 3-5 years of... experience. The candidate should preferably have FINRA experience. New Jersey Bar... admission is a must. New York Bar admission is preferred.... read more
Company
In-House, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Aug 14, 18
Info Source
Employer
Total Views
14
matters as well as FINRA. Working closely with Business... and projects, as assigned. Must have 8-15 years of legal experience. Should have experience as broker-dealer/insurance distribution counsel, including providing advice regarding FINRA, SEC and state insurance... securities laws and regulations.... read more
Company
In-House
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Aug 10, 18
Info Source
Employer
Total Views
17
Act of 1934 (and SEC related rules and regulations) is required. Familiarity with FINRA broker-dealer rules and regulations... is required. Must have ability to participate as a member of a team, assisting in other projects as needed or as assigned.... read more
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