Finra Attorney Jobs in Los Angeles
-
Sponsored Job
Senior Principal Advisor and Counsel, Market Manipulation
FINRA. | Los Angeles, CA
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...
-
Sponsored Job
Litigation Director (Non-Disciplinary) - Enforcement
FINRA. | Los Angeles, CA
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...
-
Sponsored Job
Senior Counsel
FINRA. | Los Angeles, CA
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...
-
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 03, 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 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...
-
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: The organization is seeking an experienced Assistant General Counsel, Regulatory to join their team. The ideal candidate will have a law degree from an accredited law school, admission to a bar, and a minimum of 6-8 years of directly related legal experience. They should also have advanced knowledge...
-
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 03, 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...
-
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 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 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...
Litigation - Financial Services - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 11, 2024
SUMMARY: Summary: The Vice President, Litigation Attorney is responsible for providing legal advice and representation to Wedbush Securities in securities, capital markets, and other company matters. They will manage legal proceedings, collaborate with internal departments, and provide guidance on dispute...
Corporate - Contract Law Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 11, 2024
SUMMARY: Vice President, Contracts Attorney - Wedbush Securities Salary: $185,000 - $215,000 (with potential for additional incentive compensation) Job Type: Full-Time/Regular Location: Los Angeles, CA (hybrid work available) Years of Experience: 4 years transaction experience Education: Bachelor's D...
Legal Staff Paralegal in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Aug 31, 2024
SUMMARY: Bold Headline: Paralegal, Enforcement - Join Our Team at FINRA! H1: Paralegal, Enforcement - Legal Support at FINRA H2: Essential Job Functions: - Perform legal research for staff attorneys - Assist with preparing and sharing exhibits for testimony - Conduct customer interviews and prepar...
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Aug 13, 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: Aug 07, 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: Aug 06, 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 ...
Corporate - Securities and Capital Markets Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Jul 30, 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...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Aug 20, 2024
SUMMARY: All interested candidates must submit their application and resume through our career site at www.finra.org/careers – no exceptions. If you have any difficulty using our online application system due to a disability or technical difficulty, please send an email to [email protected] (link sends e-m...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Aug 08, 2024
SUMMARY: If you would like to be considered for this position, please submit your resume to FINRA’s Talent Acquisition team at Careers@finra.org....
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Aug 01, 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...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Jul 23, 2024
SUMMARY: Director, Regulatory Services Management - Full Time - R-008259 FINRA is seeking a Director, Regulatory Services Management (RSM) to join our Market Regulation and Transparency Services (MRTS) team. This role will be responsible for managing key operations and reporting functions for RSM, includi...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Jul 30, 2024
SUMMARY: FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application acco...
Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Culver City, CA
Culver City, CA
Type: Full Time | Posted Date: Aug 07, 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...