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Finra Attorney Jobs in Chicago

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Job info
Company
Law Firm
Experience
Min 5 yrs required
Location
Chicago, IL
Posted Date
Dec 12, 18
Info Source
Employer
Total Views
97
Labor & Employment FINRA Arbitration Counsel The candidate... financial-services industry clients in FINRA arbitrations or related matters,... Strong familiarity with the FINRA arbitration process required. Will... work from a virtual/remote office, including from home, but with access to local offices,... read more
Company
In-House
Experience
3-5 yrs required
Location
Chicago, IL
Posted Date
Nov 27, 18
Info Source
Employer
Total Views
42
broker dealer regulations, corporate law and experience handling regulatory investigation is needed. SEC or FINRA experience, or law firm... experience advising financial institutions are needed. Military education or experience may be considered in lieu of civilian requirements listed is needed.... read more
Company
In-House
Experience
6-12 yrs required
Location
Chicago, IL
Posted Date
Dec 12, 18
Info Source
Employer
Total Views
49
inquiries from the SEC, FINRA, CFTC, NFA and other... regulatory authorities. Working with outside counsel in handling larger enforcement matters brought by the firm’s regulators. Identifying necessary changes to the firm’s systems and procedures to meet new rules/regulations. Drafting agreements,... read more
Company
In-House
Experience
Min 5 yrs required
Location
Oak Brook, IL
Posted Date
Dec 14, 18
Info Source
Employer
Total Views
2
In-House Securities Attorney The candidate will assist... outside counsel to have materials approved by the SEC and FINRA. Must be licensed attorney... with experience in public... securities work with emphasis on real estate-related securities offerings. 5+ years of experience required.... read more
Company
Recruiter
Experience
1-4 yrs required
Location
Chicago, IL
Posted Date
Oct 18, 18
Info Source
Recruiter
Total Views
9
a government agency. This attorney will litigate a wide... regarding the CFTC, SEC, FINRA, securities and derivatives exchanges,... and state Attorneys General as well as related antitrust and white collar criminal matters as needed. Typical matters include disputes over equities... read more
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