Broker Dealer Attorney Jobs in Colorado
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Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: Job Title: Assistant General Counsel, Regulatory (Remote/Hybrid) Organization: FINRA (Financial Industry Regulatory Authority) Experience: Minimum 6-8 years of directly related legal experience Salary Range: - California: $146,200 - $296,100 - Colorado/Hawaii/Minnesota/Vermont: $127,300 - $246,...
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Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: In this role, the Principal Counsel, Enforcement, will be responsible for providing legal expertise and guidance in matters related to enforcement for the organization. They will work closely with investigative staff, conduct research, and develop legal strategies to assess and prosecute cases. The ...
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Family Law - General Attorney in Golden, CO
Golden, CO
Type: Full Time | Posted Date: Sep 16, 2024
SUMMARY: We are committed to being excellent servant-leaders for our clients and each other. We are looking for an experienced Senior Associate to join our team. ## Senior Associate Doing things differently should get you excited? We're looking for an attorney that wants to join us in our mission to...
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Attorney in Denver, CO
Denver, CO
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,...
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Attorney in Denver, CO
Denver, CO
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 Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 05, 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...
Law Student - Public Interest in Denver, CO
Denver, CO
Type: Part Time | Posted Date: Sep 03, 2024
SUMMARY: The PCAOB is a registered trademark of the Public Company Accounting Oversight Board. This organization is not affiliated with nor officially endorsed by the PCAOB. H1: Spring 2025 Legal Intern at the Public Company Accounting Oversight Board (PCAOB) H2: Join Us and Make a Difference in Global I...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Aug 13, 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 ...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Aug 06, 2024
SUMMARY: Director, Enforcement - Woodbridge, NJ/Jersey City, NJ/Jericho, NY/Denver, CO/Dallas, TX Full Time - R-008297 - Posted Today The Organization is currently seeking a highly qualified Director, Enforcement to join our team in multiple locations. This is a full-time position with competitive comp...
Tax - General Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Jul 30, 2024
SUMMARY: Position: Tax Senior - Real Estate Tax (Central Region Office Locations) Experience required: 3 years in tax planning or preparing work papers and tax returns for clients Job Type: Full-time Salary Range: $68,180 - $144,300 (depending on experience and qualifications) Location: Central Region O...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Jul 30, 2024
SUMMARY: Strategic Advisor, Market Regulation & Transparency Services - Essential Job Functions: - Provides critical leadership and strategic support to the head of Strategic Regulatory Engagement in Market Regulation & Transparency Services (MRTS) - Acts as a strategic thought partner and trusted adviso...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Jul 16, 2024
SUMMARY: H1: Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst Experience: Senior-level Job Type: Full-Time Salary: Based on location and factors such as experience and education, ranging f...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Jun 13, 2024
SUMMARY: #H1: Principal Analyst, Risk Monitoring - Any FINRA Location #H2: Conduct Risk Monitoring Activities for FINRA Members Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst, Risk Monitoring Job Type: Full-Time FINRA, the Financial Industry Regulatory Authority, is cu...
Attorney in Denver, CO
Denver, CO
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...