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31 jobs found for

Finra Attorney Jobs in Maplewood

Job info
Company
Recruiter
Experience
Min 1 yrs required
Location
Newark, NJ
Posted Date
Sep 25, 17
Info Source
Recruiter
Attorneys The candidates should have FINRA experience. Must have J.D.... degree.... read more
Company
Recruiter
Experience
Min 10 yrs required
Location
Newark, NJ
Posted Date
Oct 05, 17
Info Source
Recruiter
Digital Attorney - Financial Institution The... of experience as an attorney in a law firm... preferred. Working knowledge of FINRA, SEC, FTC, FCC and... ESIGN ACT as they pertain to digital and social media legal and compliance issues is needed.... read more
Company
Recruiter
Experience
Min 3 yrs required
Location
Jersey City, NJ
Posted Date
Aug 03, 17
Info Source
Recruiter
Funds Counsel The candidate will report to SVP, AGC Group Head; provide Legal support to the third party institutional investment management platform, including multiple private funds and managed accounts in various asset classes for both domestic and international institutional clients.... read more
Company
In-House
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Oct 19, 17
Info Source
Employer
business group on MSRB, FINRA, SEC and other applicable... rules and regulations that impact their business. Work directly with **MEMBERS ONLY**SIGN UP NOW***. business, legal and control function management. Respond to ad hoc requests from internal and external sources, and work on other... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Sep 22, 17
Info Source
Recruiter
FINRA Attorney The candidate should... have excellent academic credentials.... read more
Company
Recruiter
Experience
Location
New York City, NY
Posted Date
Oct 09, 17
Info Source
Recruiter
Temporary Finra Attorney The candidate should... have good academics credentials.... read more
Company
In-House
Experience
5-7 yrs required
Location
New York City, NY
Posted Date
Oct 19, 17
Info Source
Employer
solid understanding of SEC, FINRA, and various exchange rules... applicable to bank’s US business lines, in particular Global Markets and Corporate Finance; excellent written and verbal communication skills; a strong work ethic and a passion for high performance; strong presentation... read more
Company
In-House
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Oct 19, 17
Info Source
Employer
and testing for applicable FINRA requirements as well as... for the firm. Managing relationships with regulators and manage regulatory examinations. Must have 10-15 years of relevant experience Bachelor s degree required, Exchange Act of 1934, FINRA regulation, MSRB regulation, and...... read more
Company
In-House
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Oct 19, 17
Info Source
Employer
to GPF, including Reg T, Reg X, Reg U, Reg SHO, Rule 15c3-1, Rule 15c-3 and other SEC and FINRA rules needed. A working... understanding of Volcker, Title VII and EU regulations such as EMIR and MiFid2 is a must.... read more
Company
In-House
Experience
Min 15 yrs required
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Employer
cross-border regulations, including Dodd-Frank; FINRA; etc. and discuss the... issues with internal stakeholders and clients; conducts legal review and issue resolution for ancillary trading documentation, i.e., Collateral Control Agreements, Non-Disclosure Agreements, Confidentiality Waivers and various Side Letters. Draft and review... read more
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