38 jobs found for

Broker Dealer Attorney Jobs in California

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  • Corporate - Securities and Capital Markets Attorney in San Diego, CA

    San Diego, CA

    Type: Full Time | Posted Date: Oct 23, 2024

    SUMMARY: Regulatory and Securities Attorney Jacko Law Group, P.C., a corporate, regulatory and securities law firm, is seeking an experienced (5 years) Regulatory and Securities Attorney to advise clients on SEC regulatory and securities issues and to provide counsel on unique and complex legal issue...

  • Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in San Diego, CA

    San Diego, CA

    Type: Full Time | Posted Date: Nov 21, 2024

    SUMMARY: H1: Vice President, Assistant General Counsel - LPL Financial H2: Join Our Team: Are You a Solution-Oriented Attorney? Bold Headline: LPL Financial Seeks Experienced Attorney for Vice President, Assistant General Counsel Role Are you a team player with a curious mind and a passion for solvi...

  • Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Los Angeles, CA

    Los Angeles, CA

    Type: Full Time | Posted Date: Nov 12, 2024

    SUMMARY: Keywords: Deputy Chief Counsel, Division of Registration and Inspections, mission-driven, investor protection, audit standards, inspection, enforcement, ethical, professional conduct, compensation, hybrid work, paid time off, health benefits, family resources, commuter benefits, legal, Sarbanes-Oxle...

  • Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Irvine, CA

    Irvine, CA

    Type: Full Time | Posted Date: Nov 12, 2024

    SUMMARY: Requirements Background Investigation All PCAOB employees are required to be trustworthy and of high integrity. The PCAOB conducts a background investigation on all prospective and employees. Not ready to apply? Join our Talent Network to stay informed about PCAOB job opportunities and e...

  • Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in San Francisco, CA

    San Francisco, CA

    Type: Full Time | Posted Date: Nov 12, 2024

    SUMMARY: Organization: Public Company Accounting Oversight Board (PCAOB) Department: Division of Registration and Inspections Job Title: Deputy Chief Counsel Experience: Minimum of 15 years of recent experience with a law firm, government agency, corporation, or regulatory body (or combination). Salary:...

  • Employment Law - General Attorney in San Diego, CA

    San Diego, CA

    Type: Full Time | Posted Date: Nov 14, 2024

    SUMMARY: Summary: Job Title: AVP, Associate Counsel, Employment Business Unit Support Job ID: R-040469 Company: LPL Financial Locations: Fort Mill, South Carolina; San Diego, California Category: Legal Salary Range: $128,900.00 - $214,900.00 Experience: 3 years employment law experience Education:...

  • Corporate - Asset/Investment Management Attorney in San Diego, CA

    San Diego, CA

    Type: Full Time | Posted Date: Nov 12, 2024

    SUMMARY: H1: VP, Assistant General Counsel, Alternative Investments - Join Our Legal Team at LPL Financial! H2: Overview: VP, Assistant General Counsel, Alternative Investments Are you a highly experienced attorney with a strong background in alternative investments? Look no further than LPL Financial, t...

  • Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA

    Los Angeles, CA

    Type: Full Time | Posted Date: Sep 10, 2024

    SUMMARY: Associate General Counsel, Regulatory - Full Time Posted Yesterday Job Requisition ID: R-008412 The organization is looking for an Associate General Counsel, Regulatory to manage the complete life cycle of adopting new regulatory requirements. This includes providing expert knowledge and ad...

  • Attorney in Los Angeles, CA

    Los Angeles, CA

    Type: Full Time | Posted Date: Nov 22, 2024

    SUMMARY: Principal Investigator, VAST - All FINRA Locations - Salary Range: $92,500 - $200,200, based on location and qualifications - Full-time position - Job Requisition ID: R-008669 Overview: FINRA's Vulnerable Adults and Seniors Team (VAST) is seeking a Principal Investigator to join their spe...

  • Attorney in San Francisco, CA

    San Francisco, CA

    Type: Full Time | Posted Date: Nov 17, 2024

    SUMMARY: Principal Intelligence Specialist, FIU - All FINRA Locations: Salary Information and Job Description Salary Information: - Salary ranges vary based on location and other factors such as experience and education. - For work performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Wash...

  • Attorney in Los Angeles, CA

    Los Angeles, CA

    Type: Full Time | Posted Date: Sep 25, 2024

    SUMMARY: H1: Senior Principal Analyst, Risk Monitoring – Large Diversified – All FINRA Locations H2: Job Description and Requirements for Senior Principal Analyst Position Organization: FINRA Job Title: Senior Principal Analyst, Risk Monitoring Experience: Prior experience in FINRA's Exam and/or Ri...

  • Attorney in San Francisco, CA

    San Francisco, CA

    Type: Full Time | Posted Date: Sep 25, 2024

    SUMMARY: Introducing: Senior Principal Analyst, Risk Monitoring – Large Diversified – All FINRA Locations Full-time position available at FINRA, with competitive salary and comprehensive benefits package. Join our team and make a difference in the financial industry as a leader in risk monitoring and ...

  • Attorney in San Francisco, CA

    San Francisco, CA

    Type: Full Time | Posted Date: Oct 07, 2024

    SUMMARY: "Principal Investigator, VAST - All FINRA Locations: A full-time position with FINRA, the Vulnerable Adults and Seniors Team (VAST) is looking for a Principal Investigator to join their specialized unit within the National Cause and Financial Crimes Program (NCFC). The role involves investigating fi...

  • Attorney in San Francisco, CA

    San Francisco, CA

    Type: Full Time | Posted Date: Nov 07, 2024

    SUMMARY: Senior Analyst, Public Offerings - Salary Information, Job Title, and Experience JOB TITLE: Senior Analyst, Public Offerings ORGANIZATION: FINRA (Financial Industry Regulatory Authority) DEPARTMENT: Corporate Financing Public Offerings EXPERIENCE: 3-5 years of related financial industry ...

  • Attorney in San Francisco, CA

    San Francisco, CA

    Type: Full Time | Posted Date: Oct 30, 2024

    SUMMARY: For Additional Information: Noreen McMullan at Noreen.mcmullan@finra.org Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Director, Member Supervision Strategic Enga...

  • Attorney in Los Angeles, CA

    Los Angeles, CA

    Type: Full Time | Posted Date: Oct 30, 2024

    SUMMARY: The Director, Member Supervision Strategic Engagements & Publications will be responsible for providing strategic leadership and guidance for the Office of Strategic Engagement (OSE) at FINRA. This role involves collaborating with various teams within Member Supervision (MS) and other departments at...

  • Attorney in Los Angeles, CA

    Los Angeles, CA

    Type: Full Time | Posted Date: Sep 06, 2024

    SUMMARY: About FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, sex, gender identity, sexual orientation, national origin, age, dis...

  • Attorney in Los Angeles, CA

    Los Angeles, CA

    Type: Full Time | Posted Date: Sep 11, 2024

    SUMMARY: Senior Principal Investigator, Cyber Enabled Fraud Group - All FINRA Locations Full time posted on Posted Today job requisition id R-008413 The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled fraud investigations of FINRA...

  • Attorney in San Francisco, CA

    San Francisco, CA

    Type: Full Time | Posted Date: Sep 11, 2024

    SUMMARY: Senior Principal Investigator, Cyber Enabled Fraud Group - All FINRA Locations Full time posted on Posted Today job requisition id R-008413 The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled fraud investigations of FINRA...

  • Law Student - Public Interest in Los Angeles, CA

    Los Angeles, CA

    Type: Full Time | Posted Date: Sep 25, 2024

    SUMMARY: What We Look For The PCAOB looks for candidates who are detail-oriented, possess strong analytical and communication skills, and have a passion for protecting investors. We also value candidates who are able to work in a fast-paced, collaborative environment and who have a strong commitment to et...

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