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37 jobs found for

Finra Attorney Jobs in Newark

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SPONSOREDJOB
Company
FINRA.
Experience
Min 10 yrs required
Location
Woodbridge, NJ
Posted Date
Apr 12,18
Info Source
Total Views
9
Counsel, Member Regulation of Enforcement Duties: Manage and supervise the regional attorneys in multiple district offices and provide substantive direction to them in the course of their investigative work... read more
Company
In-House, Prudential Financial, Inc
Experience
Min 5 yrs required
Location
Newark, NJ
Posted Date
Apr 20, 18
Info Source
Employer
Total Views
86
Total Applies
1
matters as well as FINRA. Work closely with Business... Unit Law Departments, as well as Compliance and Risk Management Departments to provide legal analysis and counsel relating to the sales, supervision and distribution of mutual funds, registered insurance products and... read more
Company
In-House, PGIM, Inc.
Experience
Min 5 yrs required
Location
Newark, NJ
Posted Date
Apr 20, 18
Info Source
Employer
Total Views
144
matters as well as FINRA. Work closely with Business... Unit Law Departments, as well as Compliance and Risk Management Departments to provide legal analysis and counsel relating to the sales, supervision and distribution of mutual funds, registered insurance products and... read more
Company
In-House, Advisor Group.
Experience
Min 5 yrs required
Location
Jersey City, NJ
Posted Date
Apr 24, 18
Info Source
Employer
Total Views
287
prepare written submissions to FINRA, SEC and State securities... proceedings; participate in On-the-Record interviews of sales and supervisory personnel; prepare and present updates and reports on significant regulatory matters to senior business executives. Provide legal assistance for all required industry... read more
Company
In-House, Royal Bank of Canada (RBC)
Experience
2-4 yrs required
Location
Jersey City, NJ
Posted Date
Apr 20, 18
Info Source
Employer
Total Views
104
policy and SEC and FINRA rules and regulations with... respect to Employee Disclosures including Personal / Related Accounts and Trading, Outside Business Activities and Private Investments. Will ensure that Compliance oversight process is aligned with business strategies, operations and procedures.... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
Weehawken, NJ
Posted Date
Apr 23, 18
Info Source
Employer
Total Views
36
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
Apr 23, 18
Info Source
Employer
Total Views
15
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
1
Temporary Finra Attorney The candidate should... have good academics credentials.... read more
Company
In-House
Experience
Min 6 yrs required
Location
New York City, NY
Posted Date
Apr 20, 18
Info Source
Employer
Total Views
42
large bank/securities regulators (e.g. FRB, OCC, SEC, PRA, FINRA, CFTC) is preferred. Must... have extensive experience in Credit Risk Management, knowledge of risk and finance issues related to trading and lending activities, and familiarity with Fed, OCC and SEC regulations.... read more
Company
Recruiter
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Feb 02, 18
Info Source
Recruiter
Total Views
2
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
In-House
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Apr 23, 18
Info Source
Employer
Total Views
9
similar role. Should have FINRA Registrations: Series 7, 66,... 8 or 9 and 10 required OR Series 7, 66 with an advanced law degree. Strong international exposure is required. Strong understanding of AML/ OFAC regulations is needed. Must have strong... read more
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