Broker Dealer Attorney Jobs in Washington
-
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 27, 2024
SUMMARY: LPL Financial is currently seeking a VP, Associate Counsel to join their Regulatory Enforcement group within the Legal department. This position is available in Fort Mill, SC, Washington, DC, Boston, MA, or San Diego, CA and offers a competitive salary range of $163,700.00 - $272,900.00. The ideal c...
-
Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: Mid-Level Securities Associate - Join Ice Miller's Business Practice Group in Multiple Locations! Law Firm Seeking Experienced Associate for Federal and State Securities Law Focus Job Title: Mid-Level Securities Associate Location: Chicago, Columbus, Indianapolis, Washington, D.C. Department: Busi...
-
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...
-
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. ...
-
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 Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 25, 2024
SUMMARY: SENIOR OFFICER-NATIONAL UNIT CHIEF, COMPLEX FINANCIAL INSTRUMENTS UNIT Securities and Exchange Commission Division of Enforcement Summary The Senior Officer-National Unit Chief, Complex Financial Instruments Unit position is in the Division of Enforcement located in New York, NY or Washington,...
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 Washington, DC
Washington, DC
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 Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Director State Relations Government Affairs Apply Logo remote type Remote locations Washington, DC (Job Posting) Kansas City, MO (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job Posting) Boca Raton, FL (Job...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Director, Government Affairs Apply Logo locations Washington, DC (Job Posting) time type Full time posted on Posted 7 Days Ago job requisition id R-008664 To support the Vice President, Federal Affairs, Office of Government Affairs, and the Office of Government Affairs team ...
Legal Staff Paralegal in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. H1: Senior Paralegal, Oversight Liaison and Counsel - Full Time Position with FINRA H2: Join Our Team and Make a Difference in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) D...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 10, 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 accomm...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: Senior Director, Investigations - All FINRA Locations The organization FINRA is currently seeking a Senior Director, Investigations to lead and implement the strategic direction of the Cause Investigations program across all FINRA locations. This is a full-time position and the successful candida...
Attorney in Washington, DC
Washington, DC
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 ...