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Finra Attorney Jobs in Long Beach

Job info
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Sep 22, 17
Info Source
Recruiter
FINRA Attorney The candidate should... have excellent academic credentials.... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Oct 09, 17
Info Source
Recruiter
Temporary Finra Attorney The candidate should... have good academics credentials.... read more
Company
In-House
Experience
5-7 yrs required
Location
New York City, NY
Posted Date
Oct 19, 17
Info Source
Employer
solid understanding of SEC, FINRA, and various exchange rules... applicable to bank’s US business lines, in particular Global Markets and Corporate Finance; excellent written and verbal communication skills; a strong work ethic and a passion for high performance; strong presentation... read more
Company
In-House
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Oct 19, 17
Info Source
Employer
and testing for applicable FINRA requirements as well as... for the firm. Managing relationships with regulators and manage regulatory examinations. Must have 10-15 years of relevant experience Bachelor s degree required, Exchange Act of 1934, FINRA regulation, MSRB regulation, and...... read more
Company
In-House
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Oct 19, 17
Info Source
Employer
to GPF, including Reg T, Reg X, Reg U, Reg SHO, Rule 15c3-1, Rule 15c-3 and other SEC and FINRA rules needed. A working... understanding of Volcker, Title VII and EU regulations such as EMIR and MiFid2 is a must.... read more
Company
In-House
Experience
Min 15 yrs required
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Employer
cross-border regulations, including Dodd-Frank; FINRA; etc. and discuss the... issues with internal stakeholders and clients; conducts legal review and issue resolution for ancillary trading documentation, i.e., Collateral Control Agreements, Non-Disclosure Agreements, Confidentiality Waivers and various Side Letters. Draft and review... read more
Company
Recruiter
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Sep 28, 17
Info Source
Recruiter
Contract Attorney The candidate will be... advertising materials, including for FINRA compliance. Working closely with... Exchange Act, Investment Company Act, Advisers Act, Commodity Exchange Act and FINRA Rules and Regulation. ... Note: This is 9 - 12 months contract position.... read more
Company
In-House
Experience
7-10 yrs required
Location
New York City, NY
Posted Date
Oct 13, 17
Info Source
Employer
- SEC, NYSE, and FINRA rules; guidance on equity... trading, including OATS, FINRA Trade Reporting requirements, market... manipulation concerns, and Regulations NMS, ATS, SHO, and the Market Access Rule required. Strong verbal and written communication and interpersonal skills required. Ability... read more
Company
Recruiter
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Sep 04, 17
Info Source
Recruiter
SEC no-action letters and FINRA regulations. Advise on mutual... fund governance issues. Attend board meetings and oversee documentation of governance process. Will have direct contact with senior management of registered investment advisers and mutual fund boards of directors. Review and... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jul 20, 17
Info Source
Recruiter
and Exchange Commission (SEC), FINRA and states. Will conduct... mock SEC exams and compliance testing using proprietary forensic and transactional testing techniques. Research laws, rules and regulations. Develop and evaluate compliance manuals and operational policies and procedures. Update and maintain... read more
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