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Counsel, Capital Markets
FINRA is looking for an... Associate General Counsel to join its Capital Markets Group of the Office of General Counsel (OGC). This is an excellent opportunity for an experienced attorney to serve as the primary coordinator...
Job Type:... Full-Time
Job Description: Associate General Counsel, Capital Markets
Job Title: Associate General Counsel, Capital Markets
Provide expert legal advice and guidance to the Board of Governors and senior management...
law firm based in Washington D.C. is seeking a seasoned FinTech and Blockchain Counsel with a minimum of 8 years of legal practice. The ideal candidate should possess a deep understanding of US federal securities laws, with a proven track...
encourage all qualified individuals to apply, and do not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veteran status, or any other protected status.
# Assistant/Associate General Counsel -...
Principal Counsel, Ethics
FINRA is committed to protecting... America’s investors and ensuring the fair and honest operations of the broker-dealer industry. To fulfill this mission, FINRA is hiring a Principal... Counsel- Ethics to join its team. The successful candidate...
Associate General Counsel, Broker-Dealer/Investment Advisor Group
Organization is looking for an Associate General Counsel to work in the Broker-Dealer/Investment Adviser Group. The position is primarily responsible for working with the Vice President, Broker-Dealer/Investment Adviser Group, to develop...
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 Washington, DC, is seeking a Mid-to-Senior Associate-level Financial Services Compliance and Regulatory Associate Attorney. The ideal candidate will possess a minimum of 4 years of experience in compliance and regulatory matters, particularly in advising registered...
of cases brought by FINRA’s Department of Enforcement against... FINRA-registered firms and persons associated... with FINRA-registered firms. Hearing Officers also... preside over disciplinary proceedings initiated by the New York Stock Exchange and other self-regulatory organizations against their members and associated...
management, advising them on high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes. This position is recognized by FINRA and the industry as... the top/ primary expert in a particularly complex and unique subject matter area(s) pe...