General Counsel Broker Dealer Jobs in San Francisco
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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:...
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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...
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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...
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Corporate - Securities and Capital Markets Attorney in San Francisco, CA
San Francisco, CA
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...
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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 ...
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,...