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Finra Attorney Jobs in Newark

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Job info
Company
In-House, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
25
matters as well as FINRA. Working closely with Business... and projects, as assigned. Must have 8-15 years of legal experience. Should have experience as broker-dealer/insurance distribution counsel, including providing advice regarding FINRA, SEC and state insurance... securities laws and regulations.... read more
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Jersey City, NJ
Posted Date
Sep 12, 18
Info Source
Employer
Total Views
53
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
Experience
3-5 yrs required
Location
Jersey City, NJ
Posted Date
Sep 07, 18
Info Source
Employer
Total Views
35
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
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
May 08, 18
Info Source
Recruiter
Total Views
8
Municipal Sales and Trading Attorney The candidate will work... business group on MSRB, FINRA, SEC, and other applicable... rules and regulations that impact their business; work directly with business, legal, and control function management; respond to ad hoc requests from... read more
Company
In-House
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Sep 07, 18
Info Source
Employer
Total Views
32
Act of 1934 (and SEC related rules and regulations) is required. Familiarity with FINRA broker-dealer rules and regulations... is required. Must have ability to participate as a member of a team, assisting in other projects as needed or as assigned.... read more
Company
Law Firm
Experience
2-5 yrs required
Location
New York City, NY
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
19
Seeking Associate Attorney - Securities with 2-5... of litigation experience. Candidate with NY Bar admission required for diverse practice including securities and arbitration litigation and commercial litigation. Strong writing and analytical skills a must. Experience with FINRA is a plus.... read more
Company
Recruiter
Experience
4-7 yrs required
Location
New York City, NY
Posted Date
Jun 25, 18
Info Source
Recruiter
Total Views
3
Investment Advisers Act, and related broker-dealer and FINRA rules. Should preferably have... a thorough working knowledge of the relevant statutes and regulatory requirements, and experience researching and drafting memoranda and opinions on complex regulatory issues. Strong writing skills are essential.... read more
Company
Recruiter, BCG Attorney Search
Experience
2-8 yrs required
Location
New York City, NY
Posted Date
Aug 31, 18
Info Source
Recruiter
Total Views
19
New York City office of our client seeks securities attorney with 2-5 years of... litigation experience. The candidate should have NY Bar admission for diverse practice including arbitration litigation and commercial litigation. Experience with FINRA is a plus.... read more
Company
Recruiter
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Apr 24, 18
Info Source
Recruiter
Total Views
5
Private Funds Attorney The candidate will encompass... Advisers Act, Company Act, FINRA). Must have 5+ years... of relevant experience at a quality law firm practice group and/or another investment bank or private equity firm, as well as an excellent academic... read more
Company
In-House
Experience
6-8 yrs required
Location
New York City, NY
Posted Date
Sep 14, 18
Info Source
Employer
Total Views
22
Private Side business; Strong understanding of the Investment Advisers Act of 1940; familiarity with FINRA and CFTC/NFA rules advantageous.... Bachelor’s Degree is essential. Must have 6-8 years’ compliance-related experience, preferably in alternative investments. JD or other relevant advanced degree helpful.... read more
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