Broker Dealer Attorney Jobs in Chicago
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Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Dec 10, 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...
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Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: Chief Counsel & Chief Compliance Officer - Legal and Compliance Team at Marsh McLennan - Available in 3 locations: New York, NY; Chicago, IL; Boston, MA - Hybrid role with 3 days in office requirement - Oversee compliance programs for MMA Securities, MMA Asset Management, and MMC Securities - ...
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Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Dec 10, 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...
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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...
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Attorney in Chicago, IL
Chicago, IL
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...
Attorney in Chicago, IL
Chicago, IL
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 Chicago, IL
Chicago, IL
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 Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: 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, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status ...
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...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: Senior Director, Risk Monitoring - All FINRA Locations FINRA, the Financial Industry Regulatory Authority, is seeking a Senior Director, Risk Monitoring for all FINRA locations. This role will be responsible for overseeing the risk assessment, planning, and execution of examinations for a specifi...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: SEO Friendly Job Title: Principal Investigator, Vulnerable Adults and Seniors Team (VAST) - All FINRA Locations H1 Heading: Join the VAST Team as a Principal Investigator H2 Heading: Investigate Financial Exploitation and Abuse of Seniors and Vulnerable Adults Organization: FINRA (Financial...
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: Job Title: Chief Counsel & Chief Compliance Officer Locations: New York, NY; Chicago, IL; Boston, MA Salary Range: $138,700 - $277,300 Responsibilities: - Serve as the trusted adviser for Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities ...
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Organization: Public Company Accounting Oversight Board (PCAOB) Position: Deputy Chief Counsel, Division of Registration and Inspections Experience: Minimum of 15 years of relevant experience Salary: $242,000 - $399,100 per year (based on data-driven market analysis) Location: Various offices/l...
Tax - General Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 13, 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: Nov 17, 2024
SUMMARY: Summary: Job Title: Principal Intelligence Specialist, FIU - All FINRA Locations Organization: FINRA Job Type: Full-Time Experience Level: Advanced Salary Range: Varies by location, based on factors such as experience and education Job Requisition ID: R-008606 Location: All FINR...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Oct 30, 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 ...
Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Oct 22, 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...
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,...
Law Student - Public Interest in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: Summer 2025 Legal Intern - Washington D.C., Philadelphia, PA, Fort Lauderdale, FL, San Francisco, CA, New York, NY Organization: Public Company Accounting Oversight Board (PCAOB) Job Title: Summer 2025 Legal Intern Experience Level: Law student currently enrolled in an accredited law school...