Finra Attorney Jobs in Plano
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Sponsored Job
Senior Principal Advisor and Counsel, Market Manipulation
FINRA. | Dallas, TX
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. | Dallas, TX
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. | Dallas, TX
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 Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Summary: - Job Title: Associate General Counsel, Regulatory - Organization: FINRA - Type: Full-time - Location: Hybrid work environment (remote/office) - Salary: Varies based on location and factors such as skill set, experience, and education - Job Requisition ID: R-008412 - Date Posted: Y...
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Litigation - Securities Litigation - Defense Attorney in Dallas, TX
Dallas, TX
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 Dallas, TX
Dallas, TX
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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Finance - Banking Attorney in Plano, TX
Plano, TX
Type: Full Time | Posted Date: Sep 13, 2024
SUMMARY: Preferred qualifications, capabilities, and skills Experience with wealth management and investment advisory issues including the Investment Advisers Act of 1940 and related regulations. Knowledge of insurance products and related regulations and laws. Experience with legal issues related to...
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Finance - Banking Attorney / Litigation - Securities Litigation - Defense Attorney in Addison, TX
Addison, TX
Type: Full Time | Posted Date: Sep 16, 2024
SUMMARY: Law Firm Seeking Securities Litigation & Regulatory Associate Attorney in Dallas, TX Bressler, Amery & Ross, a national law firm, is seeking a Securities Litigation & Regulatory Associate Attorney to join our Dallas office. This is a great opportunity for an experienced attorney to work with a dy...
Litigation - Securities Litigation - Defense Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: Job Title: Assistant General Counsel, Regulatory Experience: Minimum 6-8 years of directly related legal experience Salary Range: $127,300 - $296,100 (depending on location and qualifications) Organization: FINRA (Financial Industry Regulatory Authority) Department: Office of General Counsel Job Typ...
Attorney in Dallas, TX
Dallas, TX
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 Dallas, TX
Dallas, TX
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 Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 05, 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 Dallas, TX
Dallas, TX
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...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: The Vice President, Corporate Financing will be a key member of the Corporate Financing and Advertising Regulation team within the Offices of the Chief Legal Officer (OCLO) at FINRA, a leading securities industry regulator. This position requires a minimum of 10 years of experience in the securities...
Litigation - Securities Litigation - Defense Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Aug 07, 2024
SUMMARY: The Director of Enforcement is a key leadership role within the organization, responsible for managing a team of 5-8 Enforcement attorneys and overseeing the development and resolution of Enforcement cases. This position requires a law degree and a minimum of seven years of experience in securities-...
Litigation - Securities Litigation - Defense Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Aug 06, 2024
SUMMARY: H1: Director, Enforcement - Manage Team of Attorneys and Cases for FINRA H2: Essential Job Functions and Responsibilities Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Director, Enforcement Job Type: Full-Time Experience Required: Minimum 7 years of regulatory and/o...
Litigation - Securities Litigation - Defense Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Aug 13, 2024
SUMMARY: FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. 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...
Corporate - Securities and Capital Markets Attorney in Dallas, TX
Dallas, TX
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 Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Aug 20, 2024
SUMMARY: Job Title: Associate Principal Analyst, Risk Monitoring Organization: FINRA Location: Any FINRA Location Experience: Mid-level Salary: Varies based on location and qualifications Job Type: Full-time H1: Join Our Team as an Associate Principal Analyst, Risk Monitoring H2: Conduct Risk Monito...
Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Aug 08, 2024
SUMMARY: SEO Friendly Job Title: Vice President, Regulatory Liaison - All FINRA Locations H1: Vice President, Regulatory Liaison - Strengthening External Regulatory Relationships H2: Key Responsibilities and Qualifications for the Role Bold Headlines: - Lead and Strengthen Regulatory Relationship...
Attorney in Dallas, TX
Dallas, TX
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...
Corporate - Securities and Capital Markets Attorney in Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Jun 27, 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 Dallas, TX
Dallas, TX
Type: Full Time | Posted Date: Jul 16, 2024
SUMMARY: Title: Principal Analyst, Risk Monitoring Organization: FINRA Department: Risk Monitoring Location: Any FINRA Location Salary Range: $92,500 - $200,200 Experience: Senior-level with relevant industry experience #H1: Principal Analyst, Risk Monitoring - Any FINRA Location #H2: Essential Job ...