Finra Attorney Jobs in Denver
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Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Bullet points: -Position: Associate General Counsel, Regulatory -Job type: Full time -Posted: Yesterday -Job requisition ID: R-008412 -Responsible for managing and directing the adoption of new regulatory requirements -Provides expert knowledge and advice to the Board of Governors and senior m...
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Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Oct 01, 2024
SUMMARY: Senior Litigation Counsel, Enforcement - Full Time Locations: Washington, DC, Jersey City, NJ, Jericho, NY, Denver, CO, Dallas, TX, Chicago, IL, Boston, MA, Boca Raton, FL, Woodbridge, NJ, San Francisco, CA, Rockville, MD, Philadelphia, PA, New York, NY, Los Angeles, CA Salary: Dependent on locati...
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Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Oct 11, 2024
SUMMARY: Senior Litigation Counsel, Enforcement: - Represent FINRA in complex disciplinary proceedings nationwide. - Provide guidance and advice on statutory disqualification and waiver/exemption requests. - Draft and review legal documents, including complaints and motions. - Oversee pre-hearing tasks...
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Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: The Senior Analyst in Corporate Financing Public Offerings is responsible for analyzing complex and high-profile public offering transactions. The Senior Analyst reviews and investigates proposed public offering underwriting arrangements to ensure compliance with FINRA and SEC rules as well as other...
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Attorney in Denver, CO
Denver, CO
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 Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: SEO Friendly Job Title: Senior Principal Analyst, Risk Monitoring H1: Join FINRA as a Senior Principal Analyst, Risk Monitoring H2: Take on a Leadership Role in Risk Monitoring at FINRA Bold Headlines: - Conduct Risk Monitoring for High Impact and Complex Firms - Mentor and Lead Junior St...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Oct 07, 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 Denver, CO
Denver, CO
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location Full time Posted Today Job Requisition ID: R-008594 FINRA is seeking a Director, Member Supervision Strategic Engagements & Publications to join our team. This position can be located in any FINRA offi...
Litigation - General (consumer) Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Oct 23, 2024
SUMMARY: # Litigation Associate Attorney at Jones & Keller P.C. Jones & Keller P.C. is a full-service business law firm with Denver roots and an international reach. We represent individuals and public and privately held businesses from small start-ups to Fortune 500 companies, providing a wide array of b...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Director, Enforcement - Woodbridge, NJ/Jersey City, NJ/Jericho, NY/Denver, CO/Dallas, TX Full Time - R-008297 - Posted Today The Organization is currently seeking a highly qualified Director, Enforcement to join our team in multiple locations. This is a full-time position with competitive comp...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: H1: "Join FINRA as a Director of Enforcement - Apply Now!" H2: "Manage a Team of Attorneys and Drive Successful Enforcement Outcomes" Director, Enforcement Full-time position with FINRA Job ID: R-008299 Location: Various locations across the US We are seeking a highly skilled and experienced Direc...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 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 ...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: In this role, the Principal Counsel, Enforcement, will be responsible for providing legal expertise and guidance in matters related to enforcement for the organization. They will work closely with investigative staff, conduct research, and develop legal strategies to assess and prosecute cases. The ...
Corporate - Securities and Capital Markets Attorney in Denver, CO
Denver, CO
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...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
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...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 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 Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: SEO Friendly Job Title: Principal Analyst, Regulatory Services Management H1: Join FINRA as a Principal Analyst in Regulatory Services Management H2: Work in a Senior-Level Professional Role with the Regulatory Services Management Team Bold Headlines: - Senior-Level Professional Role in Regu...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Investigative Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable r...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: #H1: Principal Analyst, Risk Monitoring - Any FINRA Location #H2: Conduct Risk Monitoring Activities for FINRA Members Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst, Risk Monitoring Job Type: Full-Time FINRA, the Financial Industry Regulatory Authority, is cu...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: H1: Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst Experience: Senior-level Job Type: Full-Time Salary: Based on location and factors such as experience and education, ranging f...