Broker Dealer Attorney Jobs in Chicago
-
Sponsored Job
Senior Legal Counsel - Asset Management/broker Dealer
Northern Trust Corporation | Chicago, IL
Type: Full-Time | Posted Date: Sep 24, 2020
SUMMARY: Senior Legal Counsel - Asset Management/Broker Dealer The candidate will be part of a 15 member team that supports Northern Trust’s asset management and brokerage businesses. Broad asset management experience with knowledge of investment advisers and registered investment funds is required. Exp...
-
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 18, 2024
SUMMARY: Associate General Counsel at Lincoln International (View all jobs) Chicago, IL Salary: Competitive salary Job Title: Associate General Counsel Experience: 5-7 years of experience in M&A/corporate law at a top-tier law firm and as in-house counsel at a public company Location: Chicago, IL J...
-
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 16, 2024
SUMMARY: H1: Mid-Level Securities Associate Opportunity at Top Law Firm H2: Join Ice Miller's Business Practice Group in Chicago, Columbus, Indianapolis or Washington, DC Bold Headline: Seeking Experienced Securities Associate for Top Law Firm in Multiple Locations Job Title: Mid-Level Securities Asso...
-
Corporate - Contract Law Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 11, 2024
SUMMARY: Fun - We are a team that likes to have fun. We are excited about what we are building and want to enjoy the journey. Counsel – Contracts and Regulatory: Job Title: Counsel – Contracts and Regulatory H1: Join Our Legal Team as a Counsel – Contracts and Regulatory H2: Opportunity for...
-
Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: SEO Friendly Job Title: Associate General Counsel, Regulatory - Full Time H1: Join FINRA as Our Associate General Counsel, Regulatory H2: Be Part of a Dynamic and Innovative Team Organization: FINRA Department: Office of General Counsel Location: Remote/Office (Hybrid) Salary Range...
-
Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: H1: Principal Counsel, Enforcement - Full Time Job with Organization H2: Job Overview FINRA is seeking a highly skilled and experienced Principal Counsel to join our Enforcement team. This role plays a crucial role in assessing and advocating for fair and effective outcomes in Enforcement matt...
Attorney in Chicago, IL
Chicago, IL
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,...
Attorney in Chicago, IL
Chicago, IL
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...
Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Aug 18, 2024
SUMMARY: Law Firm Seeking Financial Services Compliance & Regulatory Associate Davis Wright Tremaine LLP, a leading law firm with offices across the United States, is currently seeking a Financial Services Compliance & Regulatory Associate to join their dynamic team. This is a mid-level to senior associat...
Tax - General Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Aug 15, 2024
SUMMARY: Tax Senior - Financial Services Industries - Hedge Fund Tax (Central Region Locations) Salary Information: The disclosed wage range for this role is $63,420 to $126,620, depending on factors such as skill sets, experience and training, licensure and certifications, and other business and organiza...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Aug 01, 2024
SUMMARY: About FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, mar...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Jul 30, 2024
SUMMARY: H1: Strategic Advisor, Market Regulation & Transparency Services - Essential Job Functions and Requirements H2: Essential Job Functions: - Serve as a key member of the senior management team for the Department - Work closely with the head of SRE and senior management team to manage and suppor...
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Jun 27, 2024
SUMMARY: Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/invest...
Finance - General Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Jul 18, 2024
SUMMARY: Senior Legal Counsel - Financial Services: Are you a highly experienced legal professional with a background in financial services? Marex, a global financial services platform, is seeking a Senior Legal Counsel to join their team in Chicago, IL. In this role, you will be responsible for providing...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Jun 13, 2024
SUMMARY: Investigative Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable r...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Jun 12, 2024
SUMMARY: SEO-friendly job title: Principal Analyst, Regulatory Services Management H1: Join FINRA's Regulatory Services Management Team as a Principal Analyst H2: Apply Now for the Senior-Level Professional Role of Principal Analyst at FINRA Job Summary: - Full-time position with FINRA's Departme...