Finra Attorney Jobs in Culver City
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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 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 ...
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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...
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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 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 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 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 - 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 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 Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Director, Enforcement: - Responsible for managing a team of 5-8 attorneys in the Enforcement department, overseeing all stages of Enforcement cases from inception to completion. - Ensures that all factual findings are supported by accurate and well-supported evidence and are in line with FINRA's...
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: FINRA abides by the requirements of 29 CFR Part 471, Appendix A. This regulation prohibits discrimination against qualified individuals on the basis of race, color, religion, sex, national origin, age and disability. FINRA abides by the requirements of 29 CFR 2550.404a-3(j)(3). This regulation pr...
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Summary: Organization: FINRA Job Title: Counsel, Enforcement Job Type: Full Time Experience: Minimum of 4 years in a regulatory or legal environment Salary: - California: $106,400 - $200,200 - Washington, DC/Maryland: $106,400 - $191,800 - Colorado/Hawaii/Minnesota/Vermont: $92,5...
Corporate - Securities and Capital Markets Attorney in Los Angeles, CA
Los Angeles, CA
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...
Corporate - Securities and Capital Markets Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Enforcement Director The candidate will manage a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. Be the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the outcome in every matter...
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Director, Enforcement - Job Posting The Enforcement Director will manage a team of 5-8 Enforcement attorneys, overseeing the development and resolution of Enforcement cases from beginning to end. This role requires a strong leader with excellent communication skills and the ability to prioritize ...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: SEO Friendly Job Title: Principal Investigator, NCP - FINRA H1: Join the FINRA Team as a Principal Investigator H2: Investigate Fraud and Misconduct at All FINRA Locations Organization: FINRA Department: National Cause Program (NCP) Salary Information: - Minimum salary ranges from ...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Job Title: Principal Analyst, Regulatory Services Management Location: Remote/Office Organization: FINRA (Financial Industry Regulatory Authority) Department: Market Regulation and Transparency Services (MRTS) Salary Range: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washi...