Broker Dealer Attorney Jobs in San Francisco
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Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Organization: Public Company Accounting Oversight Board (PCAOB) Department: Division of Registration and Inspections Job Title: Deputy Chief Counsel Experience: Minimum of 15 years of recent experience with a law firm, government agency, corporation, or regulatory body (or combination). Salary:...
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Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 17, 2024
SUMMARY: Principal Intelligence Specialist, FIU - All FINRA Locations: Salary Information and Job Description Salary Information: - Salary ranges vary based on location and other factors such as experience and education. - For work performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Wash...
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Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: Introducing: Senior Principal Analyst, Risk Monitoring – Large Diversified – All FINRA Locations Full-time position available at FINRA, with competitive salary and comprehensive benefits package. Join our team and make a difference in the financial industry as a leader in risk monitoring and ...
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Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: "Principal Investigator, VAST - All FINRA Locations: A full-time position with FINRA, the Vulnerable Adults and Seniors Team (VAST) is looking for a Principal Investigator to join their specialized unit within the National Cause and Financial Crimes Program (NCFC). The role involves investigating fi...
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Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: Senior Analyst, Public Offerings - Salary Information, Job Title, and Experience JOB TITLE: Senior Analyst, Public Offerings ORGANIZATION: FINRA (Financial Industry Regulatory Authority) DEPARTMENT: Corporate Financing Public Offerings EXPERIENCE: 3-5 years of related financial industry ...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: For Additional Information: Noreen McMullan at Noreen.mcmullan@finra.org Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Director, Member Supervision Strategic Enga...
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...
Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Oct 22, 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...
Corporate - Securities and Capital Markets Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 23, 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...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 23, 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...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 23, 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...
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 ...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 23, 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...
Attorney in San Francisco, CA
San Francisco, CA
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 San Francisco, CA
San Francisco, CA
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. Summary: Organization: FINRA Job Title: Associate Principa...
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,...