Broker Dealer Attorney Jobs in Florida
-
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Tampa, FL
Tampa, FL
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: The PCAOB is a registered trademark of the Public Company Accounting Oversight Board. The PCAOB logo and slogan are trademarks of the PCAOB. Deputy Chief Counsel, Division of Registration and Inspections - Competitive Salary, Generous Benefits, and Work-Life Flexibility H1: Join the PCAOB as a De...
-
Corporate - Asset/Investment Management Attorney in Tampa, FL
Tampa, FL
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: The Lead Counsel I - Investment Management (Hybrid) position at Citi is a full-time, remote role based in Tampa, Florida. The successful candidate will have 2-5 years of relevant industry experience, preferably in financial services, and a Juris Doctorate or equivalent law degree. This role will rep...
-
Corporate - Contract Law Attorney / Insurance Defense - General Attorney in Miami, FL
Miami, FL
Type: Full Time | Posted Date: Oct 24, 2024
SUMMARY: Salary Information: The pay range for this position is $116,900.00 - $195,300.00, based on factors such as candidate background, experience, and work location. This range also allows for potential salary growth within the position. Job Title: Senior Counsel, Global Auto Experience Info...
-
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Nov 21, 2024
SUMMARY: Principal Investigator, Vulnerable Adults and Seniors Team (VAST) - All FINRA Locations - Conduct complex risk-based investigations of FINRA member firms and registered representatives involving potential Elder Financial Exploitation (EFE) - Provide consultation services to FINRA staff and colla...
-
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: Job Title: Senior Analyst, Public Offerings Organization: FINRA (Financial Industry Regulatory Authority) Experience Level: Intermediate Salary Range: $68,500 - $146,900 (varies by location and individual qualifications) H1: Join FINRA as a Senior Analyst, Public Offerings and Help Regulate th...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location Full time posted on Posted Today job requisition id R-008594 The Director, Strategic Engagements & Publications, is responsible for supporting the Office of Strategic Engagement (OSE) in providing...
Law Student - Public Interest in Tampa, FL
Tampa, FL
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: H1: Summer 2025 Legal Intern at PCAOB: Protect Investors and Drive Audit Quality H2: Join Our Team and Make a Difference in Global Investor Protection - Competitive hourly rate based on education level and qualifications - Hybrid work option with assigned office/location and occasional intentio...
Attorney in Pensacola, FL
Pensacola, FL
Type: Full Time | Posted Date: Oct 17, 2024
SUMMARY: H1: Manager, Legal & Risk - NFFG H2: About the Organization Organizational Information: - Job title: Manager, Legal & Risk - Organization: Navy Federal Financial Group (NFFG) - Location: Hybrid (Vienna, VA; Pensacola, FL; Winchester, VA; San Diego, CA) - Job category: Operational Risk - J...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 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 Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: The Enforcement Director position at FINRA is a full-time role, responsible for managing a team of 5-8 Enforcement attorneys and overseeing the development and resolution of Enforcement cases. The Director is responsible for ensuring that all cases are handled with complete and accurate factual find...
Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while als...
Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: SEO Friendly Job Title: Enforcement Counsel at FINRA H1: Join FINRA as an Enforcement Counsel and Make a Difference in Financial Regulatory Matters H2: Resolve Non-Complex Enforcement Matters and Contribute to High Quality Work for Large Complex Matters Organization: FINRA Department: En...
Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: Introducing an exciting new opportunity for experienced attorneys in the regulatory field – the Assistant General Counsel, Regulatory position at FINRA. This senior-level role offers the chance to make a significant impact within the organization and the securities industry as a whole. With a hybr...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: SEO Friendly Job Title: Senior Principal Analyst, Regulatory Services Management H1 Heading: Join FINRA's Regulatory Services Management Team as a Senior Principal Analyst H2 Heading: Work with Market Regulation and Transparency Services to Ensure Regulatory Compliance Summary: The Senio...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 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 acco...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: H1: Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Analyst, Risk Monitoring Job Type: Full Time Salary: Varies by location and experience Job Requisition ID: R-008120 Post...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Risk Monitoring Principal Analyst - Any FINRA Location Full Time - Posted Today R-008249 JOB SUMMARY The Risk Monitoring Principal Analyst is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. This...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Strategic Advisor, Market Regulation & Transparency Services Salary Information: Minimum $149,600, Maximum $351,200 Full-Time Position R-008276 Job Requisition ID Posted Today Work Location: Various (CA, DC, CO, HI, MN, VT, NY, WA, MD) H1: Leadership and Strategic Support for Market Regulati...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: The Vice President, Regulatory Liaison is a high-level position within FINRA, responsible for leading and strengthening the Office of Regulatory Liaison (ORL) within Member Supervision. This role requires an experienced regulatory professional with significant knowledge of securities, compliance, an...
Attorney in Boca Raton, FL
Boca Raton, FL
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,...