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Securities/FINRA matters. This role offers a compelling opportunity for a seasoned attorney to contribute to the firm's success.Duties:Manage and handle a diverse caseload, primarily focusing on Securities and FINRA cases.Conduct thorough legal research,... analysis, and document preparation.Represent clients in c...
to Senior-level Financial Services Compliance and Regulatory Associate The candidate must have 4+ years of experience working on compliance and regulatory matters. Should ideally have experience working with and counseling registered investment advisors and broker-dealers on regulatory and compliance-related issues,...
Overview: A law firm in Los Angeles, CA, is seeking a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with a minimum of 4 years of experience in handling compliance and regulatory matters. The ideal candidate will play a...
Overview: A law firm in Los Angeles, CA, is seeking a qualified Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney with a minimum of 4 years of experience in compliance and regulatory matters. The ideal candidate will be crucial...
large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...
and Analytics - Any FINRA Location Full Time... Job Requisition ID: R-007655 The Senior Director within FINRA’s Cyber and Analytics Unit (CAU) leads the Cyber-Enabled Fraud (CEF) team responsible for overseeing investigations involving member firms and the...
Counsel, Enforcement - Any FINRA Location Full-Time Position Job... Senior Litigation Counsel at FINRA, the Financial Industry Regulatory... Authority, is responsible for nationwide litigation of non-disciplinary and disciplinary proceedings before the Office of Hearing Officers (OHO) and the National Adjudicatory...
Principal Counsel, Enforcement - FINRA Careers H2: Apply for... Principal Counsel, Enforcement at FINRA FINRA, a leading... securities regulator, is currently seeking a Principal Counsel, Enforcement to join their team. This role offers a competitive salary and benefits package,...
Counsel, Enforcement - Any FINRA Location Overview: ... The Senior Litigation Counsel, Enforcement will have the opportunity to work on complex disciplinary and non-disciplinary proceedings nationwide, as well as brief and argue appeals before the National Adjudicatory Council (NAC)....
related legal experience Organization: FINRA (Financial Industry Regulatory Authority)... Department: Office of General Counsel H1: Join the Team at FINRA as an Assistant General... Counsel, Regulatory H2: Protect Investors and Maintain Market Integrity in this Senior-Level Legal Role...