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19 jobs found for

Broker Dealer Attorney Jobs in Maryland

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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...

  • 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 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...

  • Litigation - Securities Litigation - Defense Attorney in Rockville, MD

    Rockville, MD

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: Director, Enforcement - Oversee a team of 5-8 attorneys handling Enforcement cases from start to finish, ensuring accurate and timely resolution. Salary Information: Varies based on location, experience, and qualifications. See below for details. Job Title: Director, Enforcement Experience: Minim...

  • Corporate - General Attorney in Rockville, MD

    Rockville, MD

    Type: Full Time | Posted Date: Sep 23, 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...

  • Litigation - Securities Litigation - Defense Attorney in Rockville, MD

    Rockville, MD

    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 trust. FINRA employs a diverse workforce and is an Equal Opportunity Employer. ...

  • Attorney in Rockville, MD

    Rockville, MD

    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 Rockville, MD

    Rockville, MD

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: Summary: Job Title: Principal Analyst, Risk Monitoring - Any Finra Location Experience: Senior-level position Salary: Depends on location, skill set, experience, and education Department: Risk Monitoring Organization: FINRA Type: Full-time Location: Any FINRA location Job Requisition ID: R...

  • Attorney in Rockville, MD

    Rockville, MD

    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 Rockville, MD

    Rockville, MD

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: H1: Principal Analyst, Risk Monitoring - Any FINRA Location H2: Job Overview Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst Time Type: Full-Time Job Requisition ID: R-008249 Date Posted: Posted Today Salary Range: $92,500 - $200,200 (depending on...

  • Legal Staff Paralegal in Rockville, MD

    Rockville, MD

    Type: Full Time | Posted Date: Sep 23, 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: Sep 23, 2024

    SUMMARY: As a Strategic Advisor in Market Regulation & Transparency Services, you will play a critical role in providing leadership and strategic support to the head of Strategic Regulatory Engagement. This full-time position (posted today) requires a minimum of 10 years of experience in securities, complian...

  • Attorney in Rockville, MD

    Rockville, MD

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: Job Title: Principal Analyst, Risk Monitoring Organization: FINRA Location: Any FINRA Location Salary Range: $92,500 - $200,200 (Based on location and qualifications) Experience: Bachelor's degree in Finance, Accounting, Business or related field(s), or equivalent combination of educatio...

  • Attorney in Rockville, MD

    Rockville, MD

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: Title: Vice President, Regulatory Liaison - All FINRA Locations Salary: $175,600 - $345,700 Experience: Significant securities, compliance or financial regulatory experience Organization: FINRA Department: Office of Regulatory Liaison (ORL) Responsibilities: - Lead and strengthen the...

  • Attorney in Rockville, MD

    Rockville, MD

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. Job Title: Associate Principal Analyst, Risk Monitoring - Any FI...

  • 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,...

  • Tax - General Attorney in Baltimore, MD

    Baltimore, MD

    Type: Full Time | Posted Date: Jul 30, 2024

    SUMMARY: Title: Tax Senior Manager - Private Equity (East Region City Locations) Experience: 8 years total corporate tax experience Salary Range: $114,490 - $272,090 (may vary based on location and qualifications) Location: 26 city locations in the East Region Department: Tax Business Tax Servi...