Finra Attorney Jobs in Florida
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Sponsored Job
Senior Principal Advisor and Counsel, Market Manipulation
FINRA. | Boca Raton, FL
Type: Full-Time | Posted Date: Nov 18, 2022
SUMMARY: Senior Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise on regulatory policy formulation and provide expert guida...
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Sponsored Job
Litigation Director (Non-Disciplinary) - Enforcement
FINRA. | Boca Raton, FL
Type: Full-Time | Posted Date: Dec 08, 2022
SUMMARY: Litigation Director (Non-Disciplinary) - Enforcement The candidate will manage a team of dedicated litigation attorneys and other staff, and, as necessary, litigates non-disciplinary and disciplinary proceedings as first or second chair. Work closely with Vice President, Litigation to collaborate w...
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Sponsored Job
Senior Counsel
FINRA. | Boca Raton, FL
Type: Full-Time | Posted Date: Dec 08, 2022
SUMMARY: Senior Counsel The candidate will provide expert legal and policy advice to Enforcement management and staff in support of Enforcement Department objectives to foster transparency and predictability in the Department's regulatory responses. Work closely with the Counsel to the Head of Enforcement a...
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Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: Introducing an exciting new opportunity for experienced attorneys in the regulatory field – the Assistant General Counsel, Regulatory position at FINRA. This senior-level role offers the chance to make a significant impact within the organization and the securities industry as a whole. With a hybr...
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Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Key Points: Job Title: Associate General Counsel, Regulatory Full-time position R-008412 job requisition ID Responsible for managing adoption of new regulatory requirements Provides expert knowledge to Board of Governors and senior management Advises on high-impact, complex and sensiti...
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Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 03, 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...
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Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: SEO Friendly Job Title: Enforcement Counsel at FINRA H1: Join FINRA as an Enforcement Counsel and Make a Difference in Financial Regulatory Matters H2: Resolve Non-Complex Enforcement Matters and Contribute to High Quality Work for Large Complex Matters Organization: FINRA Department: En...
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Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 11, 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 Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 13, 2024
SUMMARY: Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting) Jericho,...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 06, 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 Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: About FINRA FINRA is the Financial Industry Regulatory Authority, Inc., and is an independent, non-governmental regulator of 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 th...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: Vice President, Corporate Financing - Lead the Corporate Financing Department within the Offices of the Chief Legal Officer (OCLO) at FINRA. Locations: Rockville, MD Jersey City, NJ Dallas, TX Chicago, IL Boston, MA Boca Raton, FL Washington, DC Philadelphia, PA New York, NY Full-time ...
Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Aug 13, 2024
SUMMARY: ©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. The role of Enforcement Director is a highly specialized and senior level position within the organization. As such, it requires a high level of experience and expertise in secu...
Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Aug 07, 2024
SUMMARY: The Enforcement Director position at FINRA is a full-time role, responsible for managing a team of 5-8 Enforcement attorneys and overseeing the development and resolution of Enforcement cases. The Director is responsible for ensuring that all cases are handled with complete and accurate factual find...
Litigation - Securities Litigation - Defense Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Aug 06, 2024
SUMMARY: The H1 and H2 friendly headings are: H1: 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 H2: Essential Job Fu...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Aug 20, 2024
SUMMARY: All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. Associate Principal Analyst, Risk Monitoring - Any FINRA Location ...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Aug 08, 2024
SUMMARY: The Vice President, Regulatory Liaison is a high-level position within FINRA, responsible for leading and strengthening the Office of Regulatory Liaison (ORL) within Member Supervision. This role requires an experienced regulatory professional with significant knowledge of securities, compliance, an...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Aug 01, 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 Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Jul 30, 2024
SUMMARY: Strategic Advisor, Market Regulation & Transparency Services Salary Information: Minimum $149,600, Maximum $351,200 Full-Time Position R-008276 Job Requisition ID Posted Today Work Location: Various (CA, DC, CO, HI, MN, VT, NY, WA, MD) H1: Leadership and Strategic Support for Market Regulati...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Jul 23, 2024
SUMMARY: SEO-Friendly Job Title: Director, Regulatory Services Management at FINRA H1: Join FINRA as Director, Regulatory Services Management H2: Lead Key Operations and Reporting Functions for RSM Bold Headlines: - Manage Operations and Reporting for Regulatory Services Management at FINRA - Ac...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Jul 16, 2024
SUMMARY: Risk Monitoring Principal Analyst - Any FINRA Location Full Time - Posted Today R-008249 JOB SUMMARY The Risk Monitoring Principal Analyst is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. This...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Jun 25, 2024
SUMMARY: Senior Analyst, Public Offerings - Remote (Full Time) The Senior Analyst in Corporate Financing Public Offerings at FINRA is responsible for analyzing complex and high-profile public offering transactions. This is an intermediate-level professional role that requires a Bachelor's degree and at le...
Attorney in Boca Raton, FL
Boca Raton, FL
Type: Full Time | Posted Date: Jun 13, 2024
SUMMARY: H1: Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Analyst, Risk Monitoring Job Type: Full Time Salary: Varies by location and experience Job Requisition ID: R-008120 Post...