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Finra Attorney Jobs in Illinois

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Job info
Company
Law Firm
Experience
Min 5 yrs required
Location
Chicago, IL
Posted Date
Jan 13, 19
Info Source
Employer
Total Views
103
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
6-12 yrs required
Location
Chicago, IL
Posted Date
Jan 18, 19
Info Source
Employer
Total Views
62
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
Jan 16, 19
Info Source
Employer
Total Views
4
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
In-House, Outsourced CIO LLC
Experience
5-10 yrs required
Location
Chicago, IL
Posted Date
Jan 16, 19
Info Source
Employer
Total Views
10
Attorney - Securities and Broker... or between customer accounts. Identifying necessary changes to the firm’s systems and procedures to meet new AML and Trade Surveillance rules/regulations. Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and similar... non-US regulatory authorities.... read more
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