Broker Dealer Attorney Jobs in District Of Columbia
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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 27, 2024
SUMMARY: LPL Financial is currently seeking a VP, Associate Counsel to join their Regulatory Enforcement group within the Legal department. This position is available in Fort Mill, SC, Washington, DC, Boston, MA, or San Diego, CA and offers a competitive salary range of $163,700.00 - $272,900.00. The ideal c...
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Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: Mid-Level Securities Associate - Join Ice Miller's Business Practice Group in Multiple Locations! Law Firm Seeking Experienced Associate for Federal and State Securities Law Focus Job Title: Mid-Level Securities Associate Location: Chicago, Columbus, Indianapolis, Washington, D.C. Department: Busi...
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Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 25, 2024
SUMMARY: SENIOR OFFICER-NATIONAL UNIT CHIEF, COMPLEX FINANCIAL INSTRUMENTS UNIT Securities and Exchange Commission Division of Enforcement Summary The Senior Officer-National Unit Chief, Complex Financial Instruments Unit position is in the Division of Enforcement located in New York, NY or Washington,...
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Attorney in Washington, DC
Washington, DC
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...
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Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Director State Relations Government Affairs Apply Logo remote type Remote locations Washington, DC (Job Posting) Kansas City, MO (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job Posting) Boca Raton, FL (Job...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Director, Government Affairs Apply Logo locations Washington, DC (Job Posting) time type Full time posted on Posted 7 Days Ago job requisition id R-008664 To support the Vice President, Federal Affairs, Office of Government Affairs, and the Office of Government Affairs team ...
Legal Staff Paralegal in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. H1: Senior Paralegal, Oversight Liaison and Counsel - Full Time Position with FINRA H2: Join Our Team and Make a Difference in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) D...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accomm...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: Senior Director, Investigations - All FINRA Locations The organization FINRA is currently seeking a Senior Director, Investigations to lead and implement the strategic direction of the Cause Investigations program across all FINRA locations. This is a full-time position and the successful candida...
Attorney in Washington, DC
Washington, DC
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 Washington, DC
Washington, DC
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: H1 Friendly Headings: H1: Principal Investigator, VAST - All FINRA Locations H2: Overview of the Role H2: Essential Job Functions H2: Education and Experience Requirements H2: Salary Information H2: Important Information Bold Headlines: Principal Investigator, VAST - All FINR...
Finance - Banking Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 21, 2024
SUMMARY: **H1: Mid-Level Associate: Financial Institutions Group at Cleary Gottlieb Steen & Hamilton LLP **H2: Exciting Opportunity for Mid-Level Associate in Financial Institutions Group at Top Law Firm! **Job Title: Mid-Level Associate: Financial Institutions Group **Job Location: New York or Washingt...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 22, 2024
SUMMARY: Principal Investigator, VAST - All FINRA Locations - Full time position - Located in various FINRA locations across the United States - Responsible for conducting complex risk-based investigations of FINRA member firms and registered representatives - Focus on investigating financial exploitat...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 17, 2024
SUMMARY: H1: FINRA is Hiring a Principal Intelligence Specialist for All FINRA Locations H2: Join the Financial Intelligence Unit and Make a Difference in Investor Protection Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Intelligence Specialist Experience Level: Adv...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 07, 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 Washington, DC
Washington, DC
Type: Full Time | Posted Date: Oct 22, 2024
SUMMARY: Law Firm Seeking Financial Services Compliance & Regulatory Associate Mid-level to Senior Associate Positions Available in All Offices Salary Range: $260,000 - $330,000 (annualized) Davis Wright Tremaine LLP is currently seeking an experienced associate attorney to join our Financial Services P...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Principal Investigator, NCP - All FINRA Locations Full Time Posted Today R-008443 Organization: FINRA Job Requisition ID: R-008443 Overview: FINRA's National Cause Program (NCP) is seeking a Principal Investigator to join their team. The NCP is responsible for investigating potential ...
Attorney in Washington, DC
Washington, DC
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 Washington, DC
Washington, DC
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: Vice President, Corporate Financing Department - Salary Information, Job Title and Experience Information - Job Title: Vice President, Corporate Financing Department - Salary: Ranges from $175,600 to $345,700 (depending on location and experience) - Experience: Minimum of 10 years in the securi...
Law Student - Public Interest in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Sep 20, 2024
SUMMARY: The PCAOB is a registered trademark of the Public Company Accounting Oversight Board. Summer 2025 Legal Intern at Organization - Apply Now! Are you a law student looking for a meaningful internship opportunity? Join the Public Company Accounting Oversight Board (PCAOB) as a legal intern and make ...