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Finra Attorney Jobs in New Jersey

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Job info
Company
In-House
Experience
3-5 yrs required
Location
Jersey City, NJ
Posted Date
Jun 21, 18
Info Source
Employer
Total Views
56
draft communications related to FINRA, SEC, OCC and other... regulatory matters and firm policies. Assist the firm's Legal Department and Regulatory Management group with the preparation of documents in response to regulatory inquiries and exams. Assist with regulatory filings. Review... read more
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Jersey City, NJ
Posted Date
Jun 21, 18
Info Source
Employer
Total Views
27
investment advisers. Handling of FINRA arbitration matters and regulatory... regulators at the SEC, FINRA or other similar agencies.... essential. First-chair experience in FINRA arbitrations or regulatory proceedings... is preferred. Must have Juris Doctorate degree. Must be a member in good... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Jun 20, 18
Info Source
Employer
Total Views
94
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
Jun 20, 18
Info Source
Employer
Total Views
76
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
Public Interest, FINRA.
Experience
Min 5 yrs required
Location
Woodbridge, NJ
Posted Date
Jun 15, 18
Info Source
Employer
Total Views
63
investigators and with other FINRA departments, including Member Regulation,... and business partners throughout **MEMBERS ONLY**SIGN UP NOW***. Provide guidance to attorneys... regarding proposed Enforcement outcomes and other regulatory responses to achieve consistent decision-making based on risk. Work with Chief Counsel to achieve foreseeable... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
Teaneck, NJ
Posted Date
May 07, 18
Info Source
Recruiter
Total Views
15
Alternative Investment Attorney The candidate must have... Act of 1933, Exchange Act of 1934 and FINRA rules is essential. Should... have extensive experience with the Investment Company Act, commodity pool operators, and unregistered alternative investment funds, including funds of funds.... read more
Company
In-House
Experience
3-5 yrs required
Location
Jersey City, NJ
Posted Date
Jun 15, 18
Info Source
Employer
Total Views
12
broker dealer regulations, corporate law and experience handling regulatory investigation is needed. SEC or FINRA experience, or law firm... experience advising financial institutions are needed. Military education or experience may be considered in lieu of civilian requirements listed is needed.... read more
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