29 jobs found for

Finra Attorney Jobs in District Of Columbia

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  • Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Nov 05, 2024

    SUMMARY: Honors Associate, FINRA Enforcement Program Job Summary: The FINRA Enforcement Associates, Honors Program is an entry-level position that provides meaningful contributions to investigations and decisions involving disciplinary actions against individuals and firms in the financial industry. As...

  • Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Nov 22, 2024

    SUMMARY: Principal Investigator, VAST - All FINRA Locations - Full time position - Located in various FINRA locations across the United States - Responsible for conducting complex risk-based investigations of FINRA member firms and registered representatives - Focus on investigating financial exploitat...

  • Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Nov 17, 2024

    SUMMARY: H1: FINRA is Hiring a Principal Intelligence Specialist for All FINRA Locations H2: Join the Financial Intelligence Unit and Make a Difference in Investor Protection Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Intelligence Specialist Experience Level: Adv...

  • Attorney in Washington, DC

    Washington, DC

    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 Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Sep 06, 2024

    SUMMARY: Search...

  • Finance - Financial Services Regulation Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Nov 14, 2024

    SUMMARY: Law Firm Seeks Financial Regulatory Associate in Washington, DC The Role: - Seeking a Financial Regulatory Associate with 2-5 years of experience in US financial regulatory advisory matters - Must have exposure to securities, investment management, banking, derivatives, and Fintech (including...

  • Corporate - Securities and Capital Markets Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Nov 01, 2024

    SUMMARY: Job Title: Senior Associate or Counsel (Corporate Securities) Department: Securities Group Law Firm: Saul Ewing Saul Ewing, a leading law firm, is seeking an experienced senior associate or counsel to join our growing securities group. This is a fantastic opportunity to join a dynamic and entre...

  • Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Oct 22, 2024

    SUMMARY: Law Firm Seeking Financial Services Compliance & Regulatory Associate Mid-level to Senior Associate Positions Available in All Offices Salary Range: $260,000 - $330,000 (annualized) Davis Wright Tremaine LLP is currently seeking an experienced associate attorney to join our Financial Services P...

  • Litigation - Securities Litigation - Defense Attorney in Washington, DC

    Washington, DC

    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 Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: Director, Enforcement - 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 Overview: - The Enforcement Director manages a team of 5-8 attorneys respo...

  • Litigation - Securities Litigation - Defense Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: The Director of Enforcement is responsible for managing a team of 5-8 attorneys, overseeing a diverse docket of cases, and ensuring timely and high-quality outcomes in each matter. This position requires a law degree and admission to the bar, as well as a minimum of seven years of experience in secu...

  • Litigation - Securities Litigation - Defense Attorney in Washington, DC

    Washington, DC

    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 require affirmative action by covered prime contractors and sub...

  • Corporate - Securities and Capital Markets Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: - Vice President & Associate General Counsel, Capital Markets Policy - Full-time position - Locations: New York, NY Chicago, IL Boston, MA Washington, DC Chicago (North Wacker Drive) Rockville, MD Philadelphia, PA - Job requisition ID: R-008325 - Reporting to SVP, Capital Markets Policy - Expe...

  • Litigation - Securities Litigation - Defense Attorney in Washington, DC

    Washington, DC

    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...

  • Litigation - Securities Litigation - Defense Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Sep 04, 2024

    SUMMARY: Assistant General Counsel, Regulatory - Job Summary: This is a senior-level legal position that involves providing advice and support for the adoption of new regulatory initiatives and acting as a subject matter expert in various areas of legal expertise. The Assistant General Counsel, Regulatory...

  • Corporate - Securities and Capital Markets Attorney in Washington, DC

    Washington, DC

    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...

  • Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: Principal Investigator, NCP - All FINRA Locations Full Time Posted Today R-008443 Organization: FINRA Job Requisition ID: R-008443 Overview: FINRA's National Cause Program (NCP) is seeking a Principal Investigator to join their team. The NCP is responsible for investigating potential ...

  • Attorney in Washington, DC

    Washington, DC

    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: Help Ensure Regulatory Compliance and Oversight in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) De...

  • Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: Senior Analyst, Public Offerings - Responsible for analyzing complex and high-profile public offering transactions. Intermediate-level professional work with limited supervision. Salary Information: - California: Minimum of $78,900, Maximum Salary $146,900 - Washington, DC: Minimum Salary $78,9...

  • Attorney in Washington, DC

    Washington, DC

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: SEO frieldly job title: Principal Analyst, Risk Monitoring - Any FINRA Location H1 heading: Join FINRA as a Principal Analyst, Risk Monitoring H2 heading: Senior Position with Competitive Salary and Excellent Benefits Organization: FINRA (Financial Industry Regulatory Authority) Department: Ri...

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