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Finra Attorney Jobs in Newark

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SPONSORED JOB
Company
FINRA.
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Dec 05,18
Info Source
Total Views
8
- Enforcement The candidate plans for and participates in various tasks related to investigations pertaining to sales practice and trading violations by member firms and associated persons including the gathering of... read more
SPONSORED JOB
Company
FINRA.
Experience
Min 9 yrs required
Location
New York City, NY
Posted Date
Dec 06,18
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, Prudential Financial, Inc
Experience
8-15 yrs required
Location
Newark, NJ
Posted Date
Nov 27, 18
Info Source
Employer
Total Views
51
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
Law Firm
Experience
2-3 yrs required
Location
New York City, NY
Posted Date
Dec 08, 18
Info Source
Employer
Total Views
4
Must have 2-3 years of relevant law firm experience. Must have skills and knowledge related to regulatory matters with the SEC and FINRA. Must have excellent writing,... advocacy, and analytical skills. Must have excellent academic records and strong communication abilities.... read more
Company
Law Firm
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Dec 08, 18
Info Source
Employer
Total Views
6
Deposit Insurance Corporation, and various state bank regulatory agencies. Must have skills and knowledge related to regulatory matters with the SEC and FINRA. Must have excellent writing,... advocacy, and analytical skills. Must have excellent academic records and strong communication abilities.... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Dec 14, 18
Info Source
Employer
Total Views
6
Park Avenue Securities, a FINRA Registered Broker Dealer (the... including the SEC and FINRA. Coordinate with Compliance... Management to keep abreast and external examinations, including FINRA exams, audits, inquiries, annual... sanctions compliance experience FINRA Series 7, 24 ...... read more
Company
Law Firm, eiseman levine lehrhaupt & kak...
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Dec 13, 18
Info Source
Employer
Total Views
228
Total Applies
13
We are a 20 attorney law firm with 7... the SEC, CFTC and FINRA.  While we do not... pay what the large New York firms pay, we expect only 1600-1800 hours a year in billable hours rather than 2000+.  We... read more
Company
Law Firm
Experience
3-6 yrs required
Location
New York City, NY
Posted Date
Dec 14, 18
Info Source
Employer
regulations, as well as FINRA rules; forming FINRA member... to and navigating SEC, FINRA and state regulatory examination... and/or enforcement processes; drafting written supervisory procedure manuals and anti-money laundering procedures; and drafting Form ADV and related procedures and contracts is... read more
Company
Recruiter, BCG Attorney Search
Experience
3-10 yrs required
Location
New York City, NY
Posted Date
Dec 13, 18
Info Source
Recruiter
Total Views
4
bank/investment management regulatory associate attorney with 4+ years of... of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, and various state bank regulatory agencies is needed. Knowledge related to regulatory matters with the SEC and FINRA is essential.... read more
Company
Recruiter, BCG Attorney Search
Experience
1-6 yrs required
Location
New York City, NY
Posted Date
Dec 13, 18
Info Source
Recruiter
Total Views
7
Total Applies
1
and broker-dealer regulatory associate attorney with 2-4 years of... Investment Advisers Act of 1940, Securities Exchange Act of 1934 and related FINRA rules and industry knowledge.... Must have skills and knowledge related to regulatory matters with the SEC and FINRA.... read more
Company
Law Firm, Seyfarth Shaw LLP
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Dec 12, 18
Info Source
Employer
Total Views
93
Labor & Employment FINRA Arbitration Counsel The candidate... financial-services industry clients in FINRA arbitrations or related matters,... Strong familiarity with the FINRA arbitration process required. Will... work from a virtual/remote office, including from home, but with access to local offices,... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Dec 11, 18
Info Source
Employer
Total Views
20
experienced compliance officer or attorney to join its Fixed... issued by the SEC, FINRA, CFTC, OCC, Federal Reserve... Knowledge of SEC, FINRA, OCC, CFTC and other... rules related to Fixed Income sales and trading Knowledge of securities and... read more
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