Finra Attorney Jobs in San Francisco
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Sponsored Job
Senior Principal Advisor and Counsel, Market Manipulation
FINRA. | San Francisco, 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...
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Sponsored Job
Litigation Director (Non-Disciplinary) - Enforcement
FINRA. | San Francisco, 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...
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Sponsored Job
Senior Counsel
FINRA. | San Francisco, 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...
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Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Associate General Counsel, Regulatory - Full Time Provide expert knowledge and advice to senior management and the Board of Governors on high-impact, complex and sensitive regulatory initiatives and rule changes. Direct and manage the complete life cycle of the adoption of new regulatory requi...
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Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 04, 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 ...
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Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, 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...
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Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 03, 2024
SUMMARY: SEO Friendly Job Title: Enforcement Counsel at FINRA H1 Heading: Join the Team at FINRA as an Enforcement Counsel H2 Headings: - Resolve Non-Complex Enforcement Matters with Rigorous Assessment and Effective Advocacy - Achieve Transparent and Timely Enforcement Outcomes - Collaborate with I...
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Attorney in San Francisco, CA
San Francisco, 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 San Francisco, CA
San Francisco, 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 San Francisco, CA
San Francisco, 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 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 - General (consumer) Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 08, 2024
SUMMARY: H1: LITIGATION ASSOCIATE POSITION AT SAN FRANCISCO LAW FIRM H2: JOIN OUR BUSINESS LITIGATION PRACTICE GROUP WITH 3-5 YEARS OF EXPERIENCE Frost Brown Todd, a prestigious full-service law firm with over 575 attorneys in 17 offices across 9 states and Washington D.C., is seeking a highly skilled li...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
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. H1: Director, Enforcement - Lead and Manage a Team of Attorneys H2: Essential Job Functions and Responsibilities Organization: FINRA (Financial Industry Regulatory Authori...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Aug 07, 2024
SUMMARY: H1: Job Title: Director, Enforcement H2: Essential Job Functions: - Manage a team of 5-8 Enforcement attorneys - Develop and resolve Enforcement cases - Ensure timely and accurate factual findings and legal framework - Monitor case aging and progress - Collaborate with Chief Counsel and other Enforc...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Aug 06, 2024
SUMMARY: Summary: Position: Director, Enforcement Organization: FINRA Locations: 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 Time Type: Fu...
Corporate - Securities and Capital Markets Attorney in San Francisco, CA
San Francisco, 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 San Francisco, CA
San Francisco, CA
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. Summary: Organization: FINRA Job Title: Associate Principa...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Aug 08, 2024
SUMMARY: Vice President, Regulatory Liaison - All FINRA Locations Full-time Posted Today R-008302 Overview: - Responsible for leading and strengthening the Office of Regulatory Liaison (ORL) within Member Supervision. - Partner closely with FINRA's Office of Liaison and Counsel (OLC) and Gove...
Attorney in San Francisco, CA
San Francisco, CA
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 San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Jul 23, 2024
SUMMARY: The Director, Regulatory Services Management is a full-time position within the Market Regulation and Transparency Services department, responsible for managing key operations and reporting functions. This role requires a minimum of 10 years of experience and a bachelor's degree, with preference giv...
Attorney in San Francisco, CA
San Francisco, 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 San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Aug 07, 2024
SUMMARY: Law Firm Seeking Mid-Level to Senior Associate for Financial Services Compliance and Regulatory Role Position Overview: Davis Wright Tremaine LLP, a top-tier law firm, is seeking a mid-level to senior associate attorney with a minimum of four years of experience in compliance and regulatory ma...
Corporate - Securities and Capital Markets Attorney in San Francisco, CA
San Francisco, CA
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 San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Jul 16, 2024
SUMMARY: Principal Analyst, Risk Monitoring - Any FINRA Location: - Full-time position for a Principal Analyst in Risk Monitoring at any FINRA location. - Responsible for conducting risk monitoring activities and ongoing risk assessments for FINRA members. - Must have a Bachelor's degree in Finance, Acc...