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Finra Attorney Jobs in Manhattan

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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
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Aug 17, 18
Info Source
Employer
Total Views
118
Investment Advisory Attorney The candidate will be... materials for compliance with FINRA, NYSE and SEC rules.... Should have proven background and understanding of the wealth management business and the associated legal and regulatory issues of dual registrants and broker-dealers. Should... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Aug 17, 18
Info Source
Employer
Total Views
99
Alternative Investment Attorney The candidate will provide... Act of 1934 and FINRA rules. Extensive experience with... the Investment Company Act, commodity pool operators, and unregistered alternative investment funds, including funds of funds is required. Must have 5+ years of experience... 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
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Mar 05, 18
Info Source
Recruiter
Total Views
48
Total Applies
5
relating to SEC and FINRA public offering filings. Draft... and negotiate underwriting agreements, note purchase agreements, dealer manager agreements, indentures, legal opinions, comfort letters and other ancillary documents related to securities offerings. Draft organizational documents of Delaware and New York... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Mar 20, 18
Info Source
Recruiter
Total Views
2
Annuities/Variable Life Insurance Attorney The candidate should have... insurance distribution and regulatory issues. Experience with state insurance regulatory compliance needed. Retail Broker Dealer operations, FINRA/SEC regulatory experience, and/or knowledge... of insurance distribution issues and selling agreements are a strong plus.... read more
Company
Public Interest, FINRA.
Experience
Min 9 yrs required
Location
New York City, NY
Posted Date
Jul 19, 18
Info Source
Employer
Total Views
28
assist in representing the FINRA in disciplinary hearings as... its staff attorney, including marshaling, organizing and... presenting documentary and testimonial evidence, cross-examining witnesses, and providing opening and closing arguments. Evidence increased ability to conduct settlement and related discussions with respondents... 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
13
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
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Aug 13, 18
Info Source
Employer
Total Views
21
and brokered deposit rules is needed. Demonstrates experience in general banking and corporate matters, including corporate organization, data privacy, risk management and advertising laws is must. Experience with securities laws and compliance, specifically SEC and FINRA requirements, is a plus....... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Apr 05, 18
Info Source
Recruiter
Total Views
16
Temporary Contract Attorney The candidate will provide... compliance departments with SEC, FINRA and European rules and... regulations. Work on general corporate matters including private fund formation and financing deals. Should have undergraduate Degree. JD degree required with superior academic credentials.... 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
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