Finra Attorney Jobs in Los Angeles
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Litigation - Appellate Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Dec 25, 2024
SUMMARY: ...
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Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Director State Relations Government Affairs Apply Logo remote type Remote time type Full time posted on Posted 7 Days Ago job requisition id R-008665 To support the Senior Director, State Affairs, Office of Government Affairs, and the Office of Government Affairs team in man...
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Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Principal Analyst, Risk Monitoring - All FINRA Locations Apply Logo time type Full time posted on Posted 7 Days Ago job requisition id R-008728 Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring D...
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Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Dec 27, 2024
SUMMARY: Principal Investigator, Anti-Fraud Investigations - All FINRA Locations Apply Logo locations Rockville, MD (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job Posting) Boca Raton, FL (Job ...
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Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Dec 25, 2024
SUMMARY: Lead Principal, Enforcement Central Intake Group Apply Logo locations Rockville, MD (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL (Job Posting) Boston, MA (Job Posting) Boca Raton,...
Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Culver City, CA
Culver City, CA
Type: Full Time | Posted Date: Jan 08, 2025
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: Jan 08, 2025
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: Dec 10, 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: Dec 10, 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...
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: Dec 10, 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 ...
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 ...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: Principal Analyst, Risk Monitoring - Any FINRA Location The Organization: FINRA is a not-for-profit organization authorized by Congress to protect investors and ensure market integrity. They oversee the securities industry, including stockbrokers, brokerage firms, and securities exchanges. FIN...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Dec 10, 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: Nov 26, 2024
SUMMARY: Senior Director, Investigations - All FINRA Locations Salary Information: Minimum Salary: $149,600 (CO/HI/MN/VT), $164,500 (IL), $171,900 (CA/WA/MD/Washington, DC), $179,600 (Jersey City, NJ/NY, NY) Maximum Salary: $292,600 (CO/HI/MN/VT), $322,200 (IL), $351,200 (CA/WA), $336,600 (MD/Washin...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: 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, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status ...
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: Nov 26, 2024
SUMMARY: The organization is seeking a Senior Director of Risk Monitoring to join their team in one of their various locations across the United States. This individual will be responsible for providing strategic leadership in a specific Firm Group or Sub-Group's Risk Monitoring efforts and ensuring consiste...
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...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Nov 22, 2024
SUMMARY: Principal Investigator, VAST - All FINRA Locations - Salary Range: $92,500 - $200,200, based on location and qualifications - Full-time position - Job Requisition ID: R-008669 Overview: FINRA's Vulnerable Adults and Seniors Team (VAST) is seeking a Principal Investigator to join their spe...