23 jobs found for

General Counsel Broker Dealer Jobs in New York City

per page
  • Corporate - Contract Law Attorney / Corporate - General Attorney in New York City, NY

    New York City, NY

    Type: Full Time | Posted Date: Oct 27, 2024

    SUMMARY: Further details about our values and the Barclays Mindset can be found on our website. Barclays is an equal opportunity employer and are opposed to discrimination on any grounds. For more detailed information, please visit our dedicated Diversity and Inclusion site here . Risk and Control Obje...

  • Corporate - Asset/Investment Management Attorney / Real Estate- Commercial Transactions Attorney in New York City, NY

    New York City, NY

    Type: Full Time | Posted Date: Nov 07, 2024

    SUMMARY: Remote work **Associate General Counsel – Commercial Real Estate and Investment Banking (Hybrid)** **Job Title:** Associate General Counsel **Department:** Legal **Company:** M&T Bank **Location:** New York, NY (Hybrid position - in-office work 3 days/week, potential for remote work...

  • Corporate - Securities and Capital Markets Attorney in New York City, NY

    New York City, NY

    Type: Full Time | Posted Date: Nov 01, 2024

    SUMMARY: Job Title: Senior Associate or Counsel (Corporate Securities) Salary: $230,000 - $260,000 Experience: At least 6 years Department: Securities Location: Multiple Offices (Boston, New York, Philadelphia, Washington DC) Saul Ewing, a leading law firm, is seeking an experienced senior associate o...

  • Litigation - Securities Litigation - Defense Attorney in Jersey City, NJ

    Jersey City, NJ

    Type: Full Time | Posted Date: Sep 10, 2024

    SUMMARY: Job Title: Associate General Counsel, Regulatory Salary Information: - Minimum Salary: $149,600 - Maximum Salary: $351,200 - Actual compensation based on factors such as skill set, experience, education, and internal peer comparisons. - Full pay ranges provided for candidate to consider growth ...

  • Employment Law - General Attorney in New York City, NY

    New York City, NY

    Type: Full Time | Posted Date: Oct 15, 2024

    SUMMARY: Job Title: Employment Attorney Location: New York, New York; Boston, Massachusetts; Charlotte, North Carolina Salary: $212,600.00 - $286,100.00 annualized Introduction: Bank of America is seeking an Employment Attorney to join their team and help drive Responsible Growth through a diverse and inclu...

  • Attorney in Jersey City, NJ

    Jersey City, NJ

    Type: Full Time | Posted Date: Nov 05, 2024

    SUMMARY: H1: Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location H2: Role Overview - Responsible for providing strategic leadership and guidance to the Office of Strategic Engagement (OSE) in developing publications for member firms and materials for the FINRA Board o...

  • Attorney in Woodbridge, NJ

    Woodbridge, NJ

    Type: Full Time | Posted Date: Oct 30, 2024

    SUMMARY: The Director, Member Supervision Strategic Engagements & Publications is a senior level position with significant responsibility and influence within the Office of Strategic Engagement (OSE) and Member Supervision (MS) at FINRA. This role is responsible for providing strategic leadership and guidanc...

  • Attorney in New York City, NY

    New York City, NY

    Type: Full Time | Posted Date: Oct 30, 2024

    SUMMARY: 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 also benefiting fr...

  • Attorney in New York City, NY

    New York City, NY

    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 Woodbridge, NJ

    Woodbridge, NJ

    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 Jersey City, NJ

    Jersey City, NJ

    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 Jersey City, NJ

    Jersey City, NJ

    Type: Full Time | Posted Date: Sep 23, 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...

  • Corporate - Securities and Capital Markets Attorney in Woodbridge, NJ

    Woodbridge, NJ

    Type: Full Time | Posted Date: Sep 23, 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...

  • Corporate - Securities and Capital Markets Attorney in New York City, NY

    New York City, NY

    Type: Full Time | Posted Date: Sep 23, 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...

  • Litigation - Securities Litigation - Defense Attorney in New York City, NY

    New York City, NY

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: H1: FINRA is Hiring a Director of Enforcement H2: Manage a Team of Attorneys and Ensure High-Quality Enforcement Outcomes Organization: FINRA Location: New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX Time Type: Full time Salary Range: $127,300 - $296,100 (depending on location an...

  • Litigation - Securities Litigation - Defense Attorney in Woodbridge, NJ

    Woodbridge, NJ

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: FINRA abides by the requirements of 29 CFR 513. This regulation prohibits discrimination against qualified individuals on the basis of age, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals on the basis of age. ...

  • Attorney in Jersey City, NJ

    Jersey City, NJ

    Type: Full Time | Posted Date: Sep 23, 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...

  • Attorney in Jersey City, NJ

    Jersey City, NJ

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: Summary: - Job title: Strategic Advisor, Market Regulation & Transparency Services - Organization: FINRA (Financial Industry Regulatory Authority) - Experience: Minimum of 10 years in securities, compliance or financial regulation - Education: Bachelor's degree required, MBA, JD, or other rele...

  • Attorney in Jersey City, NJ

    Jersey City, NJ

    Type: Full Time | Posted Date: Sep 23, 2024

    SUMMARY: All applicants for this position must possess unrestricted authorization to work in the United States. The organization is currently seeking an experienced Associate Principal Analyst, Risk Monitoring to join their team at any FINRA location. This is a full-time position with a competitive sala...

  • Litigation - Securities Litigation - Defense Attorney in New York City, NY

    New York City, NY

    Type: Full Time | Posted Date: Sep 04, 2024

    SUMMARY: Assistant General Counsel, Regulatory - Washington, DC - Full-time position with hybrid work environment (remote/office) - Senior-level legal role with a minimum of 6-8 years of directly related experience - Responsible for providing legal advice and support for the adoption of new regulatory initi...

People Also Searched