Broker Dealer Attorney Jobs in Boca Raton
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Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: The Enforcement Director position at FINRA is a full-time role, responsible for managing a team of 5-8 Enforcement attorneys and overseeing the development and resolution of Enforcement cases. The Director is responsible for ensuring that all cases are handled with complete and accurate factual find...
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Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while als...
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Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: SEO Friendly Job Title: Enforcement Counsel at FINRA H1: Join FINRA as an Enforcement Counsel and Make a Difference in Financial Regulatory Matters H2: Resolve Non-Complex Enforcement Matters and Contribute to High Quality Work for Large Complex Matters Organization: FINRA Department: En...
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Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Dec 25, 2024
SUMMARY: Director State Relations Government Affairs Apply Logo remote type Remote time type Full time posted on Posted 7 Days Ago job requisition id R-008665 To support the Senior Director, State Affairs, Office of Government Affairs, and the Office of Government Affairs team in man...
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Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Dec 25, 2024
SUMMARY: Principal Analyst, Risk Monitoring - All FINRA Locations Apply Logo time type Full time posted on Posted 7 Days Ago job requisition id R-008728 Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring D...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: Strategic Advisor, Market Regulation & Transparency Services Salary Information: Minimum $149,600, Maximum $351,200 Full-Time Position R-008276 Job Requisition ID Posted Today Work Location: Various (CA, DC, CO, HI, MN, VT, NY, WA, MD) H1: Leadership and Strategic Support for Market Regulati...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Nov 21, 2024
SUMMARY: Principal Investigator, Vulnerable Adults and Seniors Team (VAST) - All FINRA Locations - Conduct complex risk-based investigations of FINRA member firms and registered representatives involving potential Elder Financial Exploitation (EFE) - Provide consultation services to FINRA staff and colla...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: Job Title: Senior Analyst, Public Offerings Organization: FINRA (Financial Industry Regulatory Authority) Experience Level: Intermediate Salary Range: $68,500 - $146,900 (varies by location and individual qualifications) H1: Join FINRA as a Senior Analyst, Public Offerings and Help Regulate th...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location Full time posted on Posted Today job requisition id R-008594 The Director, Strategic Engagements & Publications, is responsible for supporting the Office of Strategic Engagement (OSE) in providing...
Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: Introducing an exciting new opportunity for experienced attorneys in the regulatory field – the Assistant General Counsel, Regulatory position at FINRA. This senior-level role offers the chance to make a significant impact within the organization and the securities industry as a whole. With a hybr...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: FINRA abides by the requirements of 41 CFR 60-1.4(a), 60-300.5(a) and 60-741.5(a). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their ...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 13, 2024
SUMMARY: Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting) Jericho,...