Finra Attorney Jobs in California
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Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Nov 22, 2024
SUMMARY: Principal Investigator, VAST - All FINRA Locations - Salary Range: $92,500 - $200,200, based on location and qualifications - Full-time position - Job Requisition ID: R-008669 Overview: FINRA's Vulnerable Adults and Seniors Team (VAST) is seeking a Principal Investigator to join their spe...
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Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 22, 2024
SUMMARY: H1: Principal Investigator, VAST - All FINRA Locations H2: Investigate Financial Exploitation and Abuse of Seniors and Vulnerable Adults Organization: FINRA (Financial Industry Regulatory Authority) Department: Vulnerable Adults and Seniors Team (VAST) The Vulnerable Adults and Seniors Team ...
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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 Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Nov 15, 2024
SUMMARY: H1: Principal Intelligence Specialist, FIU - All FINRA Locations H2: Job Overview and Essential Functions The Financial Intelligence Unit (FIU) within FINRA’s National Cause and Financial Crimes Detection Program (NCFC) is seeking a Principal Intelligence Specialist to join their team. The FIU...
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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 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...
Corporate - Securities and Capital Markets Attorney / Fintech & Blockchain Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 13, 2024
SUMMARY: Corporate and Securities Associate: H1: Join the Team at a Prestigious Law Firm in San Francisco as a Corporate and Securities Associate H2: Work with Cutting-Edge Cryptocurrency and Blockchain Technology Bullet Points: - Cole-Frieman & Mallon LLP (CFM) is a prestigious boutique law firm wit...
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...
Litigation - Trusts & Estates - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). Summary: - Wealth Management Litigation Attorney position available at Morgan Stanley - Job Number: 3261730 - Primary Location: Americas-United States of America-California-San Franc...
Litigation - General (consumer) Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 01, 2024
SUMMARY: H1: LITIGATION ASSOCIATE POSITION AT SAN FRANCISCO LAW FIRM H2: JOIN OUR BUSINESS LITIGATION PRACTICE GROUP WITH 3-5 YEARS OF EXPERIENCE Frost Brown Todd, a prestigious full-service law firm with over 575 attorneys in 17 offices across 9 states and Washington D.C., is seeking a highly skilled li...
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 / Finance - Financial Services Regulation Attorney in Culver City, CA
Culver City, CA
Type: Full Time | Posted Date: Oct 22, 2024
SUMMARY: Law Firm is seeking a mid-level to senior associate with at least four years of experience in financial services compliance and regulatory matters. This is a fantastic opportunity to join our highly regarded Financial Services Practice Group at Davis Wright Tremaine LLP. We are looking for a motivat...
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 - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Oct 22, 2024
SUMMARY: Law Firm Seeks Financial Services Compliance & Regulatory Associate H1: Join Our Market-Leading Financial Services Practice Group H2: Exciting Opportunity for Mid-level to Senior Associate Are you a highly skilled attorney with at least four years of experience in compliance and regulatory ...
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, 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 23, 2024
SUMMARY: Summary: Position: Director, Enforcement Organization: FINRA Locations: Woodbridge, NJ; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Washington, DC; San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; Los Angeles, CA Time Type: Fu...