Financial Regulation Associate Jobs in Sunrise
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Corporate - Asset/Investment Management Attorney in Fort Lauderdale, FL
Fort Lauderdale, FL
Type: Full Time | Posted Date: Sep 26, 2024
SUMMARY: Senior Attorney – US Investment Management (Mutual Funds, ETFs and Digital Assets) Franklin Templeton is a leading global investment management firm that offers a variety of opportunities for growth and advancement. We are currently seeking a Senior Attorney to join our legal team in various lo...
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Finance - Banking Attorney in Hollywood, FL
Hollywood, FL
Type: Full Time | Posted Date: Oct 14, 2024
SUMMARY: Job Title: Junior Counsel Location: Hollywood, FL Company: A&D Mortgage Salary: Competitive, based on experience Position Type: Full Time A&D Mortgage, a Florida-based Nationwide Mortgage Lender, is seeking a highly detail-oriented Junior Counsel to join their legal department. This position ...
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Corporate - M&A Attorney / Corporate - Venture Capital/Emerging Companies Attorney in Hollywood, FL
Hollywood, FL
Type: Full Time | Posted Date: Oct 14, 2024
SUMMARY: The Corporate Counsel position at A&D Mortgage is a great opportunity for a highly qualified and experienced legal professional to join our team. With over 20 years of success in providing residential and commercial loans, our Florida-based Nationwide Mortgage Lender is looking for a skilled Corpora...
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Corporate - M&A Attorney / Corporate - Securities and Capital Markets Attorney / Finance - General Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Oct 22, 2024
SUMMARY: Law Firm Seeking Corporate Attorneys for Multiple Offices - Apply Now! H1: Join Our Team as a Corporate/M&A/Securities/Finance Transactional Attorney H2: 6 Years of Experience Required - Competitive Salary and Benefits Offered - Law firm seeking experienced corporate attorneys for multiple office...
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Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location Full time posted on Posted Today job requisition id R-008594 The Director, Strategic Engagements & Publications, is responsible for supporting the Office of Strategic Engagement (OSE) in providing...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 06, 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-private partnership with the Securities and Exchange Commission (SEC), while als...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 11, 2024
SUMMARY: 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-private partnership with the Securities and Exchange Commission (SEC), while also benefiting fr...
Attorney in Plantation, FL
Plantation, FL
Type: Full Time | Posted Date: Sep 19, 2024
SUMMARY: Criminal Investigator (Special Agent) Direct Hire Department of the Treasury Internal Revenue Service Summary Positions under this announcement are being filled using a Direct Hire Authority (DHA). Click on "Learn more about this agency" button below to view Eligibilities being considered a...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: Job Title: Senior Principal Analyst, Risk Monitoring – Large Diversified – All FINRA Locations Organization: FINRA Department: Risk Monitoring Experience: Prior experience in FINRA's Exam and/or Risk Monitoring program preferred Education: Bachelor's Degree in Finance, Accounting, Business o...
Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Oct 01, 2024
SUMMARY: Senior Litigation Counsel, Enforcement The organization is seeking a Senior Litigation Counsel to join their team. This position is responsible for handling complex disciplinary and non-disciplinary proceedings and representing the organization in appeals before the National Adjudicatory Council....
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Strategic Advisor, Market Regulation & Transparency Services Salary Information: Minimum $149,600, Maximum $351,200 Full-Time Position R-008276 Job Requisition ID Posted Today Work Location: Various (CA, DC, CO, HI, MN, VT, NY, WA, MD) H1: Leadership and Strategic Support for Market Regulati...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: The Vice President, Regulatory Liaison is a high-level position within FINRA, responsible for leading and strengthening the Office of Regulatory Liaison (ORL) within Member Supervision. This role requires an experienced regulatory professional with significant knowledge of securities, compliance, an...
Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
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-private partnership with the Securities and Exchange Commission (SEC), while als...
Tax - General Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 13, 2024
SUMMARY: McLean, VA, United States Department People & Culture Nonprofit Tax Manager Job in McLean, VA Are you a highly experienced tax professional with a passion for helping nonprofit organizations? BDO is seeking a Nonprofit Tax Manager to join our team in McLean, VA. In this role, you will be respons...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: ## Summary: - Job title: Principal Analyst, Regulatory Services Management - Organization: FINRA's Department of Market Regulation and Transparency Services - Location: Various locations (see below for salary information) - Education and experience requirements: Bachelor's degree and 8 years o...
Attorney in Boca Raton, FL
Boca Raton, FL
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 Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: H1: Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Analyst, Risk Monitoring Job Type: Full Time Salary: Varies by location and experience Job Requisition ID: R-008120 Post...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Senior Analyst, Public Offerings - Remote (Full Time) The Senior Analyst in Corporate Financing Public Offerings at FINRA is responsible for analyzing complex and high-profile public offering transactions. This is an intermediate-level professional role that requires a Bachelor's degree and at le...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Risk Monitoring Principal Analyst - Any FINRA Location Full Time - Posted Today R-008249 JOB SUMMARY The Risk Monitoring Principal Analyst is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. This...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: SEO-Friendly Job Title: Director, Regulatory Services Management at FINRA H1: Join FINRA as Director, Regulatory Services Management H2: Lead Key Operations and Reporting Functions for RSM Bold Headlines: - Manage Operations and Reporting for Regulatory Services Management at FINRA - Ac...