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Finra Attorney Jobs in Newark

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SPONSORED JOB
Job title
Company
FINRA.
Experience
Min 9 yrs required
Location
New York City, NY
Posted Date
Jul 06,18
Info Source
Total Views
14
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
Jul 10,18
Info Source
Total Views
74
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, Advisor Group.
Experience
Min 5 yrs required
Location
Jersey City, NJ
Posted Date
Jul 20, 18
Info Source
Employer
Total Views
38
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
Recruiter
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Jan 30, 18
Info Source
Recruiter
Total Views
7
Attorney - Institutional Securities The... versions of policies and procedures. Must have 2-4 years of experience needed with financial services regulations, including the SEC, CFTC, FINRA, and securities/futures exchanges. ... Note: This is a contract position for approximately 6 months.... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Feb 12, 18
Info Source
Recruiter
Total Views
2
Contract Attorney The candidate will be... advertising materials, including for FINRA compliance. Working closely with... Exchange Act, Investment Company Act, Advisers Act, Commodity Exchange Act and FINRA Rules and Regulation. ... Note: This is 9 - 12 months contract position.... read more
Company
Recruiter
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Feb 02, 18
Info Source
Recruiter
Total Views
5
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
Recruiter
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Feb 05, 18
Info Source
Recruiter
Total Views
2
Attorney The candidate will support... and compliance with SEC, FINRA and European rules and... of 1940, Investment Company Act of 1940, SEC and FINRA rules, and UCITS regulations.... Experience with Equity Asset Management, Hedge Fund and/or the Investment Advisor industry.... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Jul 07, 18
Info Source
Employer
Total Views
86
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
2
Temporary Finra Attorney The candidate should... have good academics credentials.... read more
Company
In-House
Experience
3-5 yrs required
Location
Jersey City, NJ
Posted Date
Jun 26, 18
Info Source
Employer
Total Views
19
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
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Jul 07, 18
Info Source
Employer
Total Views
107
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
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Jul 20, 18
Info Source
Employer
Total Views
11
and brokered deposit rules is needed. Demonstrates experience in general banking and corporate matters, including corporate organization, data privacy, risk management and advertising laws is must. Experience with securities laws and compliance, specifically SEC and FINRA requirements, is a plus....... read more
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