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40 jobs found for

Finra Attorney Jobs in Manhattan

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SPONSOREDJOB
Company
FINRA.
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Feb 17,18
Info Source
Total Views
15
Chief Counsel, Enforcement Duties: Manage and supervise the regional attorneys in multiple district offices and provide substantive direction to them in the course of their investigative work and litigation. Review all... read more
Company
In-House, SeedInvest Technology, LLC
Experience
1-3 yrs required
Location
Manhattan, NY
Posted Date
Feb 22, 18
Info Source
Employer
Total Views
199
Total Applies
2
- Associate Counsel Dutied: Establishing best practices and guiding members across the team. Continually finding ways to improve our processes across the board. Building and maintaining relationships with startup founders and management teams. Helping manage portfolio company reporting and data.... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Feb 23, 18
Info Source
Employer
Total Views
29
Investment Advisory Attorney The candidate will be... materials for compliance with FINRA, NYSE and SEC rules... is required. Proven background and understanding of the wealth management business and the associated legal and regulatory issues of dual registrants and broker-dealers is... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Feb 23, 18
Info Source
Employer
Total Views
5
business group on MSRB, FINRA, SEC and other applicable... rules and regulations that impact their business; work directly with business, legal and control function management; respond to ad hoc requests from internal and external sources, and work on other special... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Feb 07, 18
Info Source
Recruiter
Total Views
1
Temporary Finra Attorney The candidate should... have good academics credentials.... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Feb 15, 18
Info Source
Employer
Total Views
39
OCC, Treasury, Federal Reserve, FINRA, SEC and FDIC. Collaborate... or JD a plus. FINRA registrations (e.g. Series 7,... swaps/derivatives desired. Knowledge: of FINRA and SEC Regulatory rules... relating to fixed income securities; of Dodd-Frank Swaps regulations and related CFTC rules;... read more
Company
In-House
Experience
Min 6 yrs required
Location
New York City, NY
Posted Date
Feb 16, 18
Info Source
Employer
Total Views
21
large bank/securities regulators (e.g. FRB, OCC, SEC, PRA, FINRA, CFTC) is preferred. Must... have extensive experience in Credit Risk Management, knowledge of risk and finance issues related to trading and lending activities, and familiarity with Fed, OCC and SEC regulations.... read more
Company
Public Interest, FINRA.
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Jan 29, 18
Info Source
Employer
Total Views
36
between Enforcement and other FINRA departments, including Member Regulation,... Market Regulation, Office of Fraud Detection and Market Intelligence, Office of General Counsel and Office of Disciplinary Affairs; Representing the Head of Enforcement with other regulatory agencies and outside organizations, as... read more
Company
Recruiter
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Feb 02, 18
Info Source
Recruiter
Total Views
1
Senior Investment Advisory/Asset Management Attorney The candidate will support... contracts is essential. Experience in new product processes. Familiarity with regulatory processes (SEC and FINRA) is essential. Note... : This is for run up to 5 months with possible extension.... read more
Company
In-House
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Feb 21, 18
Info Source
Employer
Total Views
7
Capital Markets and Banking Attorney The candidate will be... SEC rules and regulations, FINRA broker dealer rules, state... MandA law and conflicts of interest developments). Work cooperatively with business and legal teams in foreign jurisdictions in the Americas, EMEA and... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Feb 23, 18
Info Source
Employer
Total Views
2
Knowledge of relevant banking, CFPB and FINRA regulations is needed. Excellent... drafting skills are required. Excellent interpersonal, written, and verbal communication skills are needed. Should have the ability to work with minimal supervision as well as in a team environment.... read more
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