General Counsel Broker Dealer Jobs in California
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Corporate - General Attorney in El Segundo, CA
El Segundo, CA
Type: Full Time | Posted Date: Dec 06, 2024
SUMMARY: Targeted Job Start Date 12/01/2024 SEO Friendly Job Title: Senior Counsel - Legal Department at Cetera Financial Group H1 Heading: Join Our Legal Team at Cetera Financial Group H2 Heading: Senior Counsel Opportunity in El Segundo, CA Bold Headlines: - Support and Ensure Success at Cetera Fina...
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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: - Job Title: VP Assistant General Counsel - Experience: 5-7 years - Location: San Diego, Fort Mill/Charlotte - Time Type: Full Time - Job Requisition ID: R-041008 Responsibilities: - Provide legal support for LPL Financial's financial services business - Review, revise, and develop internal...
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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Nov 21, 2024
SUMMARY: H1: Vice President, Assistant General Counsel - LPL Financial H2: Join Our Team: Are You a Solution-Oriented Attorney? Bold Headline: LPL Financial Seeks Experienced Attorney for Vice President, Assistant General Counsel Role Are you a team player with a curious mind and a passion for solvi...
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Employment Law - General Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Nov 14, 2024
SUMMARY: Summary: Job Title: AVP, Associate Counsel, Employment Business Unit Support Job ID: R-040469 Company: LPL Financial Locations: Fort Mill, South Carolina; San Diego, California Category: Legal Salary Range: $128,900.00 - $214,900.00 Experience: 3 years employment law experience Education:...
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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...
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 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...
Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Oct 23, 2024
SUMMARY: Regulatory and Securities Attorney Jacko Law Group, P.C., a corporate, regulatory and securities law firm, is seeking an experienced (5 years) Regulatory and Securities Attorney to advise clients on SEC regulatory and securities issues and to provide counsel on unique and complex legal issue...
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Keywords: Deputy Chief Counsel, Division of Registration and Inspections, mission-driven, investor protection, audit standards, inspection, enforcement, ethical, professional conduct, compensation, hybrid work, paid time off, health benefits, family resources, commuter benefits, legal, Sarbanes-Oxle...
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Irvine, CA
Irvine, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Requirements Background Investigation All PCAOB employees are required to be trustworthy and of high integrity. The PCAOB conducts a background investigation on all prospective and employees. Not ready to apply? Join our Talent Network to stay informed about PCAOB job opportunities and e...
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Organization: Public Company Accounting Oversight Board (PCAOB) Department: Division of Registration and Inspections Job Title: Deputy Chief Counsel Experience: Minimum of 15 years of recent experience with a law firm, government agency, corporation, or regulatory body (or combination). Salary:...
Corporate - Asset/Investment Management Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: H1: VP, Assistant General Counsel, Alternative Investments - Join Our Legal Team at LPL Financial! H2: Overview: VP, Assistant General Counsel, Alternative Investments Are you a highly experienced attorney with a strong background in alternative investments? Look no further than LPL Financial, t...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 17, 2024
SUMMARY: Principal Intelligence Specialist, FIU - All FINRA Locations: Salary Information and Job Description Salary Information: - Salary ranges vary based on location and other factors such as experience and education. - For work performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Wash...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: For Additional Information: Noreen McMullan at Noreen.mcmullan@finra.org Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Director, Member Supervision Strategic Enga...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: The Director, Member Supervision Strategic Engagements & Publications will be responsible for providing strategic leadership and guidance for the Office of Strategic Engagement (OSE) at FINRA. This role involves collaborating with various teams within Member Supervision (MS) and other departments at...
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 ...
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...
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 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,...