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Finra Attorney Jobs in Manhattan

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SPONSORED JOB
Company
FINRA.
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Feb 05,19
Info Source
Total Views
23
- Sales Practice Enforcement Duties: Resolve Enforcement matters involving common rule violations based on objective and complete assessment of the facts and law. Meaningfully participate in and contribute high-quality work in... read more
SPONSORED JOB
Company
FINRA.
Experience
Min 4 yrs required
Location
Woodbridge, NJ
Posted Date
Feb 10,19
Info Source
Total Views
14
- Sales Practice Enforcement The candidate will resolve Enforcement matters involving common rule violations based on objective and complete assessment of the facts and law. Meaningfully participate in and contribute high-quality... read more
Company
In-House
Experience
Min 1 yrs required
Location
Manhattan, NY
Posted Date
Feb 13, 19
Info Source
Employer
Total Views
13
materials for compliance with FINRA rules. Driving processes for... settling and verifying transactions. Managing complex projects under tight timelines while communicating and working actively with the company's founders and people across the entire SeedInvest team. Assisting with various other operational... read more
Company
Recruiter, BCG Attorney Search
Experience
3-10 yrs required
Location
New York City, NY
Posted Date
Feb 12, 19
Info Source
Recruiter
Total Views
20
Total Applies
1
bank/investment management regulatory associate attorney with 4+ years of... of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, and various state bank regulatory agencies is needed. Knowledge related to regulatory matters with the SEC and FINRA is essential.... read more
Company
Recruiter, BCG Attorney Search
Experience
1-6 yrs required
Location
New York City, NY
Posted Date
Feb 12, 19
Info Source
Recruiter
Total Views
33
Total Applies
4
and broker-dealer regulatory associate attorney with 2-4 years of... Investment Advisers Act of 1940, Securities Exchange Act of 1934 and related FINRA rules and industry knowledge.... Must have skills and knowledge related to regulatory matters with the SEC and FINRA.... read more
Company
Law Firm, Seyfarth Shaw LLP
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jan 25, 19
Info Source
Employer
Total Views
115
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
Public Interest
Experience
Min 15 yrs required
Location
New York City, NY
Posted Date
Feb 05, 19
Info Source
Employer
Total Views
11
of legal expertise within FINRA on litigation related matters.... response with others across FINRA, in coordination with Enforcement... teams and with other FINRA departments, including Member Supervision... and Market Regulation. Review dockets and reports, and meet regularly with staff to... read more
Company
Public Interest
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Jan 30, 19
Info Source
Employer
Total Views
11
reviewing the compliance of FINRA as a regulated organization,... and indirect impacts on FINRA as related to **MEMBERS ONLY**SIGN UP NOW***... internal compliance, the administration... all business units within FINRA and will work directly... protect the interests of FINRA through working as “the... **MEMBERS ONLY**SIGN UP NOW***... read more
Company
Recruiter, BCG Attorney Search
Experience
2-8 yrs required
Location
New York City, NY
Posted Date
Feb 14, 19
Info Source
Recruiter
Total Views
7
AmLaw firm seeks associate attorney with 3-6 years of... regulations, as well as FINRA rules; forming FINRA member... to and navigating SEC, FINRA and state regulatory examination... and/or enforcement processes; drafting written supervisory procedure manuals and anti-money laundering procedures; and... read more
Company
Law Firm
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Feb 15, 19
Info Source
Employer
Total Views
17
Deposit Insurance Corporation, and various state bank regulatory agencies. Must have skills and knowledge related to regulatory matters with the SEC and FINRA. Must have excellent writing,... advocacy, and analytical skills. Must have excellent academic records and strong communication abilities.... read more
Company
Law Firm
Experience
3-6 yrs required
Location
New York City, NY
Posted Date
Feb 10, 19
Info Source
Employer
Total Views
94
Regulatory Associate The candidate should have 3 - 6 years of financial services regulatory and compliance experience. Should preferably have qualifications include regulations, as well as FINRA rules; forming FINRA member... to and navigating SEC, FINRA and state regulatory examination...... read more
Company
Law Firm
Experience
2-3 yrs required
Location
New York City, NY
Posted Date
Feb 15, 19
Info Source
Employer
Total Views
23
Total Applies
2
Must have 2-3 years of relevant law firm experience. Must have skills and knowledge related to regulatory matters with the SEC and FINRA. Must have excellent writing,... advocacy, and analytical skills. Must have excellent academic records and strong communication abilities.... read more
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