Broker Dealer Attorney Jobs in Maryland
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Attorney in Baltimore, MD
Baltimore, MD
Type: Full Time | Posted Date: Nov 14, 2024
SUMMARY: Summary: - Title: Tax Manager - Financial Svcs - Mutual Fund Tax (East Region City Locations) - Department: Tax Business Tax Services - Job available in 22 locations - Salary range: $84,980 to $193,440 (not including potential bonuses) - Minimum 5 years of experience in tax planning or prepa...
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Corporate - General Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: Vice President, Corporate Financing Department - Salary Information Salary Range: $175,600 - $345,700 Job Title: Vice President, Corporate Financing Experience: Minimum of 10 years in the securities industry with experience in FINRA's Corporate Financing Rules Organization: FINRA (Financ...
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Litigation - Securities Litigation - Defense Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 10, 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 trust. FINRA employs a diverse workforce and is an Equal Opportunity Employer. ...
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Litigation - Securities Litigation - Defense Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Associate General Counsel, Regulatory: H1: Join FINRA as an Associate General Counsel, Regulatory H2: Lead Regulatory Initiatives and Rule Changes Organization: FINRA Department: Office of General Counsel Job Title: Associate General Counsel, Regulatory Job Type: Full-Time Location: Rem...
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Attorney in Rockville, MD
Rockville, MD
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 Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Lead Principal, Enforcement Central Intake Group Apply Logo locations Rockville, MD (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL (Job Posting) Boston, MA (Job Posting) Boca Raton,...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Principal Investigator, Anti-Fraud Investigations - All FINRA Locations Apply Logo locations Rockville, MD (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job Posting) Boca Raton, FL (Job ...
Legal Staff Paralegal in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: H1: Senior Paralegal, Oversight Liaison and Counsel at Organization H2: Full-Time Position with Competitive Salary and Benefits Organization is seeking a Senior Paralegal to provide support to the Office of Oversight Liaison and Counsel (OLC) attorneys and senior management. This role will invol...
Attorney in Rockville, MD
Rockville, MD
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 Rockville, MD
Rockville, MD
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 Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: SEO Friendly Job Title: Principal Investigator, VAST - All FINRA Locations H1: Join the VAST Team as a Principal Investigator at FINRA H2: Investigate Financial Exploitation and Abuse of Seniors and Vulnerable Adults Organization: FINRA Department: Vulnerable Adults and Seniors Team (VAS...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Nov 22, 2024
SUMMARY: H1: Principal Investigator, VAST - All FINRA Locations H2: Job Description, Responsibilities, and Requirements Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Investigator, VAST Location: Multiple Locations (see list below) Employment Type: Full Time Salary...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: H1: Apply for the Position of Principal Intelligence Specialist at FINRA H2: Join the Financial Intelligence Unit and Enhance Investor Protection Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Intelligence Specialist Experience: Bachelor's degree or equivale...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: The Senior Analyst, Public Offerings will be responsible for analyzing and investigating complex and high-profile public offering transactions. This role requires a Bachelor's Degree and 3-5 years of related financial industry experience or equivalent business experience. The successful candidate wi...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 06, 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 Rockville, MD
Rockville, MD
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,...