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Finra Attorney Jobs in Maryland

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SPONSORED JOB
Company
FINRA.
Experience
2-6 yrs required
Location
Rockville, MD
Posted Date
Jul 06,18
Info Source
Total Views
12
Senior attorney Counsel The candidate performs... a variety of specific duties generally including applying analytical skills to participating in providing legal interpretations regarding laws, rules, and regulations; in drafting legal... read more
SPONSORED JOB
Company
FINRA.
Experience
Min 1 yrs required
Location
Rockville, MD
Posted Date
Jul 07,18
Info Source
Total Views
5
of possible violations of finra rules and the federal... requests for information from finra members and other constituents.... well as the relevant finra rules and federal securities... department procedures. Interface with finra members, peers, management and finra read more
SPONSORED JOB
Company
FINRA.
Experience
Min 9 yrs required
Location
Rockville, MD
Posted Date
Jul 10,18
Info Source
Total Views
12
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... read more
Company
In-House
Experience
8-15 yrs required
Location
Baltimore, MD
Posted Date
Jun 29, 18
Info Source
Employer
Total Views
81
Bar is needed. Senior attorney with Law firm and/or... managing attorneys and legal analysts are preferred. Must have strong working knowledge of the workings of applicable regulatory agencies – SEC, FINRA, etc. Excellent oral and... written communication skills are needed.... read more
Company
In-House, TD Ameritrade IP Company, Inc
Experience
3-5 yrs required
Location
Columbia, MD
Posted Date
Jun 26, 18
Info Source
Employer
Total Views
28
1934, and SRO and state securities laws, rules and regulation is essential. SEC or FINRA experience, or law firm... experience advising financial institution is needed. Military education or experience may be considered in lieu of civilian requirements listed is essential.... read more
Company
Public Interest, FINRA.
Experience
Min 9 yrs required
Location
Rockville, MD
Posted Date
May 24, 18
Info Source
Employer
Total Views
16
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
Public Interest, FINRA.
Experience
Min 9 yrs required
Location
Rockville, MD
Posted Date
Jul 05, 18
Info Source
Employer
Total Views
5
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, Transamerica
Experience
Min 10 yrs required
Location
Baltimore, MD
Posted Date
Jun 29, 18
Info Source
Employer
Total Views
53
conduct examinations, SEC and/or FINRA audits and examinations, and... a Bachelor's degree. Appropriate FINRA securities and/or state life... insurance licenses may be required, as appropriate. Law degree, CLU, FLMI or legal assistant degree is a plus. Must have 10+ years... read more
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