Finra Attorney Jobs in California
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Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Oct 11, 2024
SUMMARY: The Senior Litigation Counsel, Enforcement will be responsible for representing FINRA in complex disciplinary proceedings and appeals before the National Adjudicatory Council. This role requires a law degree and at least ten years of litigation experience, with a comprehensive knowledge of trial tec...
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Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Associate General Counsel, Regulatory - Full Time Provide expert knowledge and advice to senior management and the Board of Governors on high-impact, complex and sensitive regulatory initiatives and rule changes. Direct and manage the complete life cycle of the adoption of new regulatory requi...
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Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Associate General Counsel, Regulatory - Full Time Posted Yesterday Job Requisition ID: R-008412 The organization is looking for an Associate General Counsel, Regulatory to manage the complete life cycle of adopting new regulatory requirements. This includes providing expert knowledge and ad...
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Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Oct 01, 2024
SUMMARY: Title: Senior Litigation Counsel, Enforcement Organization: FINRA Location: Multiple Locations (See Job Posting) Employment Type: Full Time Salary Range: $127,300 - $296,100 (Based on Location and Experience) Job Requisition ID: R-008466 Posted: Today FINRA, the Financial Indust...
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Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Oct 01, 2024
SUMMARY: Senior Litigation Counsel, Enforcement - $146,200 - $296,100 per year Job Title: Senior Litigation Counsel, Enforcement Organization: FINRA (Financial Industry Regulatory Authority) Department: Enforcement Salary: $146,200 - $296,100 per year Experience: 13 years of litigation experience E...
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Oct 11, 2024
SUMMARY: Job Title: Senior Litigation Counsel, Enforcement Experience: Ten years of litigation experience with demonstrated ability to administer, manage, and try complex securities cases. Organization: FINRA (Financial Industry Regulatory Authority) Department: Enforcement Full-time position ...
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 Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: The Senior Analyst in Corporate Financing Public Offerings is 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 Senior...
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 Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: The Director, Member Supervision Strategic Engagements & Publications will be responsible for providing strategic leadership and guidance for the Office of Strategic Engagement (OSE) at FINRA. This role involves collaborating with various teams within Member Supervision (MS) and other departments at...
Attorney in San Francisco, CA
San Francisco, CA
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 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...
Attorney in Los Angeles, CA
Los Angeles, CA
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 employer and provides equal opportunity to all individuals without regard to race, color, religion, sex, gender identity, sexual orientation, national origin, age, dis...
Attorney in Los Angeles, CA
Los Angeles, 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...
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...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: H1: Senior Principal Analyst, Risk Monitoring – Large Diversified – All FINRA Locations H2: Job Description and Requirements for Senior Principal Analyst Position Organization: FINRA Job Title: Senior Principal Analyst, Risk Monitoring Experience: Prior experience in FINRA's Exam and/or Ri...
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 ...
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...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: SEO Friendly Job Title: Principal Investigator, VAST - Financial Crimes Program (NCFC) H1 Heading: Join FINRA's VAST Team and Fight Against Financial Exploitation of Seniors and Vulnerable Adults H2 Heading: Conduct Complex Investigations and Make a Difference in Protecting the Vulnerable O...
Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Oct 23, 2024
SUMMARY: Regulatory and Securities Attorney Jacko Law Group, P.C., a corporate, regulatory and securities law firm, is seeking an experienced (5 years) Regulatory and Securities Attorney to advise clients on SEC regulatory and securities issues and to provide counsel on unique and complex legal issue...
Corporate - Asset/Investment Management Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: H1: VP, Assistant General Counsel, Alternative Investments - Join Our Legal Team at LPL Financial! H2: Overview: VP, Assistant General Counsel, Alternative Investments Are you a highly experienced attorney with a strong background in alternative investments? Look no further than LPL Financial, t...