Finra Attorney Jobs in Chicago
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Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: SEO Friendly Job Title: Associate General Counsel, Regulatory - Full Time H1: Join FINRA as Our Associate General Counsel, Regulatory H2: Be Part of a Dynamic and Innovative Team Organization: FINRA Department: Office of General Counsel Location: Remote/Office (Hybrid) Salary Range...
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Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Associate General Counsel, Regulatory - Full Time Posted Yesterday - R-008412 This position is responsible for directing and managing the complete life cycle of the adoption of new regulatory requirements. The incumbent provides expert knowledge to the Board of Governors and senior management,...
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Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Oct 01, 2024
SUMMARY: Senior Litigation Counsel, Enforcement - Represent FINRA in complex disciplinary proceedings and appeals involving violations of federal securities laws and SRO rules. Salary Range: - CA: Minimum Salary $146,200, Maximum Salary $296,100 - CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,...
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Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Oct 11, 2024
SUMMARY: Offers may vary based on the candidate’s skills, experience and qualifications. Job Title: Senior Litigation Counsel, Enforcement Organization: FINRA Department: Enforcement Salary: $127,300 - $296,100 (depending on location and qualifications) Experience: 10 years of litigation experience...
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Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: Summary: The Senior Analyst in Corporate Financing Public Offerings is responsible for analyzing complex and high-profile public offering transactions. The role involves reviewing and investigating proposed underwriting arrangements to ensure compliance with FINRA and SEC rules. The candidate sho...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 07, 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 Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Oct 30, 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 Chicago, IL
Chicago, IL
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 Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: Senior Principal Analyst, Risk Monitoring – Large Diversified – All FINRA Locations Full Time Job Requisition ID: R-008444 Organization: FINRA Salary Range: - CA: Minimum Salary $124,300, Maximum Salary $235,500 - CO/HI/MN/VT*: Minimum Salary $108,200, Maximum Salary $196,200 - ...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: SEO Friendly Job Title: Principal Investigator, Vulnerable Adults and Seniors Team (VAST) - All FINRA Locations H1 Heading: Join the VAST Team as a Principal Investigator H2 Heading: Investigate Financial Exploitation and Abuse of Seniors and Vulnerable Adults Organization: FINRA (Financial...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 05, 2024
SUMMARY: About FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. 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, mar...
Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Oct 22, 2024
SUMMARY: Law Firm Seeking Financial Services Compliance & Regulatory Associate Davis Wright Tremaine LLP, a leading law firm with offices across the United States, is currently seeking a Financial Services Compliance & Regulatory Associate to join their dynamic team. This is a mid-level to senior associat...
Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Director, Enforcement - Job Requisition ID: R-008297 Organization: FINRA Location: Various locations across the US (Full-time) Posted: Today Salary Range: $127,300 - $296,100 (Actual salary based on experience and qualifications) FINRA is seeking a highly skilled and experienced Enfor...
Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Apply The position of Director, Enforcement is a full-time role within the organization. The job requisition ID for this position is R-008299 and it was posted today. The Enforcement Director will manage a team of 5-8 Enforcement attorneys and will be responsible for developing and resolving Enfo...
Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
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. Director, Enforcement - Job Description Apply for the position of Director, Enforcement at Organization. Location: New York, NY Jersey City, NJ Jericho, NY Denver, CO...
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Vice President & Associate General Counsel, Capital Markets Policy - Full Time FINRA is seeking a Vice President & Associate General Counsel, Capital Markets Policy to join their team in various locations including New York, NY, Chicago, IL, Boston, MA, Washington, DC, Rockville, MD, and Philadelph...
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: FINRA abides by the requirements of 41 CFR 60-70.5(a). This regulation prohibits discrimination against qualified applicants or employees on the basis of race, color, religion, sex, national origin, age, disability, or where otherwise prohibited by applicable law. FINRA abides by the requirements of...
Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: H1: Principal Counsel, Enforcement - Full Time Job with Organization H2: Job Overview FINRA is seeking a highly skilled and experienced Principal Counsel to join our Enforcement team. This role plays a crucial role in assessing and advocating for fair and effective outcomes in Enforcement matt...
Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
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...
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
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...