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Finra Attorney Jobs in Manhattan

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Job info
Company
In-House
Experience
6-8 yrs required
Location
New York City, NY
Posted Date
Oct 12, 18
Info Source
Employer
Total Views
34
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
Public Interest, FINRA.
Experience
Location
New York City, NY
Posted Date
Oct 08, 18
Info Source
Employer
Total Views
6
Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified... policy memos for the FINRA Board, FINRA Chief Executive... Officer, FINRA Chief Legal Officer, and... Oversees content of FINRA publications relating to the... a must. Experience with FINRA arbitration cases preferred. ... **MEMBERS ONLY**SIGN UP NOW***... read more
Company
Recruiter, BCG Attorney Search
Experience
3-8 yrs required
Location
New York City, NY
Posted Date
Oct 15, 18
Info Source
Recruiter
Total Views
10
Total Applies
3
seeks fintech regulatory 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
3-6 yrs required
Location
New York City, NY
Posted Date
Oct 10, 18
Info Source
Employer
Total Views
7
Regulatory Associate The candidate should have 3 - 6 years of financial services regulatory and compliance experience to join our fast-paced practice regulations, as well as FINRA rules; forming FINRA member... to and navigating SEC, FINRA and state regulatory examination...... read more
Company
In-House, BNP Paribas
Experience
Location
New York City, NY
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
13
trade association. FINRA Registrations Required: ... Demonstrated ability to function independently and effectively in a large, matrixed environment Excellent organization and communication (written and verbal) skills a plus. FINRA Registrations Required: ...... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Oct 08, 18
Info Source
Employer
Total Views
3
Park Avenue Securities, a FINRA Registered Broker Dealer (the... including the SEC and FINRA. Coordinate with Compliance... Management to keep abreast and external examinations, including FINRA exams, audits, inquiries, annual... sanctions compliance experience FINRA Series 7, 24 ...... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Oct 18, 18
Info Source
Employer
Total Views
4
the FRB, OCC, SEC, FINRA, CFTC, CME, NFA, and... businesses by the SEC, FINRA and NFA. The group... and position are located in downtown New York. Job Responsibilities Coordinate onsite examinations by regulators covering various... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Oct 18, 18
Info Source
Employer
Total Views
5
the FRB, OCC, SEC, FINRA, CFTC, CME, NFA, and... businesses by the SEC, FINRA and NFA, as well... as regulatory examinations of the firm’s futures and options business by regulators such as the CFTC, CME and regional exchanges. The group... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Oct 18, 18
Info Source
Employer
Total Views
6
experienced compliance officer or attorney to join its Fixed... issued by the SEC, FINRA, CFTC, OCC, Federal Reserve... Knowledge of SEC, FINRA, OCC, CFTC and other... rules related to Fixed Income sales and trading Knowledge of securities and... read more
Company
Law Firm, Seyfarth Shaw LLP
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 22, 18
Info Source
Employer
Total Views
77
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
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