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Finra Attorney Jobs in Newark

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SPONSORED JOB
Company
FINRA.
Experience
4-8 yrs required
Location
New York City, NY
Posted Date
Apr 13,19
Info Source
Total Views
23
of legal expertise within finra in subject areas, including... dispute resolution, and provide advice on questions in these subject areas. Prepare Board materials that contain sophisticated analyses and discussions of... read more
SPONSORED JOB
Company
FINRA.
Experience
Min 2 yrs required
Location
New York City, NY
Posted Date
Apr 15,19
Info Source
Total Views
21
Senior attorney Main Enforcement Duties: Assist in... resolving Enforcement matters based on objective and complete assessment of the facts and law. Contribute to successful collaboration with investigative and legal staff to... read more
SPONSORED JOB
Company
FINRA.
Experience
Min 6 yrs required
Location
New York City, NY
Posted Date
Apr 19,19
Info Source
Total Views
12
Counsel - Main Enforcement The candidate will resolve all types of Enforcement matters based on objective and complete assessment of the facts and law. Work independently and with minimal supervision on... read more
Company
Law Firm, eiseman levine lehrhaupt & kak...
Experience
1-3 yrs required
Location
New York City, NY
Posted Date
Apr 17, 19
Info Source
Employer
Total Views
500+
Total Applies
50+
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
Top Ranked by U.S. News 
Company
Recruiter
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Feb 21, 19
Info Source
Recruiter
Total Views
1
SEC no-action letters and FINRA regulations. Advise on mutual... of governance process. The attorney will have direct contact... with senior management of registered investment advisers and mutual fund boards of directors. Review and draft various investment fund documents including investment... read more
Company
In-House
Experience
Min 11 yrs required
Location
Jersey City, NJ
Posted Date
Apr 19, 19
Info Source
Employer
Total Views
12
major regulatory bodies (e.g. FINRA, SEC, CFTC); and keeping... abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas. Must have Bachelor’s degree. Should have 11+ years experience in compliance, legal... read more
Company
In-House, UBS
Experience
Min 10 yrs required
Location
Weehawken, NJ
Posted Date
Apr 22, 19
Info Source
Employer
Total Views
19
Certified Fraud Examiner (CFE) / Certified AML and Fraud Professional (CAFP) is a plus. Should have experience handling sensitive information with a high degree of discretion. Must have solid experience in interacting with regulators, including the SEC, FinCEN, FINRA, FRBNY.... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Mar 24, 19
Info Source
Employer
Total Views
13
Hedge Funds Attorney - Vice President Duties... issues including regulatory, corporate and fund investment work. Review of marketing materials for SEC and FINRA compliance. Draft and review... various contracts, non-disclosure agreements and other legal documentation. Perform ad hoc research projects.... read more
Company
Law Firm, Seyfarth Shaw LLP
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Apr 12, 19
Info Source
Employer
Total Views
125
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
Top Ranked by U.S. News Top Ranked by Vault Top Ranked by Chambers
Company
In-House, Betterment, LLC
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Apr 20, 19
Info Source
Employer
Total Views
49
our Form BD filings, FINRA Rule 3120 report and... 3130 certification, licensing requirements, and U4/U5 filings. Manage compliance processes including: KYC, AML, risk control framework, and the review and filing of customer complaints. Assist with SEC and FINRA regulatory examinations.... read more
Company
In-House
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Apr 19, 19
Info Source
Employer
Total Views
19
Act Rule 206(4)-7 and FINRA 3130. Update, maintain, and... draft the certain aspects of firm policies and procedures. Review and approve employee requests for items such as gifts/entertainment, political contributions, outside business activities, and private investments within the firm’s internal... read more
Company
In-House, Prudential Financial, Inc
Experience
Min 10 yrs required
Location
Newark, NJ
Posted Date
Apr 19, 19
Info Source
Employer
Total Views
23
regulatory response team (addressing FINRA and state securities inquiries);... firm’ senior leadership team and assist the CCO of firm in setting and executing on strategic objectives for the firm Compliance team. Represent firm with regulators including FINRA and the SEC.... read more
Company
Law Firm, Wechsler & Cohen, LLP
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Mar 26, 19
Info Source
Employer
Total Views
128
Total Applies
8
Experienced attorney sought to handle personal... litigations, commercial employment arbitrations (FINRA, AAA, JAMS), and similar... matters. Strong writing and deposition skills required. Trial experience a plus. Send resume, writing sample, and salary requirements. Principals only; please do not contact this job... read more
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