Broker Dealer Attorney Jobs in San Francisco
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Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 04, 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 ...
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Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: About FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. 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...
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Attorney in San Francisco, CA
San Francisco, CA
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 San Francisco, CA
San Francisco, CA
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...
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Law Student - Public Interest in San Francisco, CA
San Francisco, CA
Type: Part Time | Posted Date: Sep 03, 2024
SUMMARY: The PCAOB is a registered trademark of the Public Company Accounting Oversight Board. All rights reserved. H1: Spring 2025 Legal Intern Position at PCAOB - Make a Difference in Global Investor Protection H2: Join Us and Protect Investors with PCAOB H2: Compensation and Hybrid Work Option Avai...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Aug 13, 2024
SUMMARY: ©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. H1: Director, Enforcement - Lead and Manage a Team of Attorneys H2: Essential Job Functions and Responsibilities Organization: FINRA (Financial Industry Regulatory Authori...
Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Aug 07, 2024
SUMMARY: Law Firm Seeking Mid-Level to Senior Associate for Financial Services Compliance and Regulatory Role Position Overview: Davis Wright Tremaine LLP, a top-tier law firm, is seeking a mid-level to senior associate attorney with a minimum of four years of experience in compliance and regulatory ma...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Aug 20, 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. Summary: Organization: FINRA Job Title: Associate Principa...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Jul 30, 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...
Corporate - Securities and Capital Markets Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Jun 27, 2024
SUMMARY: Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/invest...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Jun 13, 2024
SUMMARY: Summary: Investigative Director, Specialist Team - All FINRA Locations FINRA is seeking an Investigations Director, Specialist Team, to manage examinations and investigations of broker-dealers' compliance with applicable rules and regulations, and financial crimes. This is a senior-level posit...