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35 jobs found for

Finra Attorney Jobs in Manhattan

Job info
SPONSORED JOB
Company
FINRA.
Experience
2-6 yrs required
Location
New York City, NY
Posted Date
May 18,18
Info Source
Total Views
28
Senior attorney Counsel - Sales... Practice Enforcement The candidate performs a variety of specific duties generally including applying analytical skills to participating in providing legal interpretations regarding laws, rules, and... read more
SPONSORED JOB
Company
FINRA.
Experience
Min 9 yrs required
Location
New York City, NY
Posted Date
May 26,18
Info Source
Total Views
3
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... read more
SPONSORED JOB
Company
FINRA.
Experience
Min 9 yrs required
Location
New York City, NY
Posted Date
May 26,18
Info Source
Total Views
10
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.... read more
Company
In-House, SeedInvest Technology, LLC
Experience
1-3 yrs required
Location
Manhattan, NY
Posted Date
May 21, 18
Info Source
Employer
Total Views
311
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
May 26, 18
Info Source
Employer
Total Views
66
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
May 26, 18
Info Source
Employer
Total Views
46
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
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 6 yrs required
Location
New York City, NY
Posted Date
May 24, 18
Info Source
Employer
Total Views
65
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
Recruiter
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Feb 02, 18
Info Source
Recruiter
Total Views
3
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 7 yrs required
Location
New York City, NY
Posted Date
May 26, 18
Info Source
Employer
Total Views
40
similar role. Should have FINRA Registrations: Series 7, 66,... 8 or 9 and 10 required OR Series 7, 66 with an advanced law degree. Strong international exposure is required. Strong understanding of AML/ OFAC regulations is needed. Must have strong... read more
Company
Recruiter, BCG Attorney Search
Experience
3-8 yrs required
Location
New York City, NY
Posted Date
May 25, 18
Info Source
Recruiter
Total Views
12
of our client seeks 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
Recruiter
Experience
2-7 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
7
Total Applies
1
and other government investigations, internal investigations and other white collar and regulatory enforcement matters. Experience in regulatory (e.g., the SEC, CFTC, FINRA) or criminal (e.g., DOJ,... a USAO, Office of the Attorney General of California) enforcement... organization would be helpful.... read more
Company
Recruiter
Experience
2-7 yrs required
Location
New York City, NY
Posted Date
Mar 26, 18
Info Source
Recruiter
Total Views
13
SEC Enforcement and other government investigations, internal investigations and other white collar and regulatory enforcement matters. Experience in regulatory (e.g., the SEC, CFTC, FINRA) or criminal (e.g., DOJ,... a USAO, Office of the Attorney General) enforcement organization would... be helpful.... read more
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