Investment Attorney Jobs in Jericho
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Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Oct 30, 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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Attorney in Jericho, NY
Jericho, NY
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...
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Attorney in Jericho, NY
Jericho, 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...
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Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: H1: Senior Principal Analyst, Risk Monitoring – Large Diversified – All FINRA Locations H2: Full Time Position, R-008444 - Conduct risk monitoring activities and ongoing risk assessments for FINRA members, reporting to a Risk Monitoring Director - Responsible for lead role in monitoring FIN...
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Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: Principal Investigator, VAST - All FINRA Locations - Full Time Job Requisition ID: R-008480 The Principal Investigator position is a full-time role with the Vulnerable Adults and Seniors Team (VAST) at FINRA. VAST is a specialized unit within FINRA's National Cause and Financial Crimes Program...
Corporate - Securities and Capital Markets Attorney in Jericho, NY
Jericho, 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 Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Director, Enforcement - Job Description Title: Director, Enforcement Location: 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 E...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: SEO Friendly Job Title: Director, Enforcement H1: Director, Enforcement - Job Description and Salary Information H2: Overview of Director, Enforcement Position Bold Headlines: Director, Enforcement: Leading and Managing a Team of Attorneys Job Title: Director, Enforcement Salary Information: Sal...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: ©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Director, Enforcement at FINRA - Job Description and Salary Information Organization: FINRA Job Title: Director, Enforcement Experience: Minimum 7 years in securities-rel...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Organization: FINRA Department: Enforcement Job Title: Principal Counsel Experience: Minimum of seven years relevant legal experience in the financial regulatory space or related areas Education: Juris Doctor (J.D.) degree from an accredited law school Salary Range: - California: M...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: About FINRA FINRA is a non-governmental organization that regulates the securities industry. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and...
Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: The Principal Investigator, NCP, is responsible for conducting investigations of potential fraud or misconduct, gathering regulatory intelligence, requesting and analyzing records, and providing subject matter expertise and advanced data analysis. This position also involves training and mentoring j...
Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Principal Analyst, Risk Monitoring - Full Time Location: Any FINRA Office Job Requisition ID: R-008120 Overview: This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with...
Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Title: Principal Analyst, Risk Monitoring - FINRA Location Salary Information: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington, DC/Maryland: Minimum Salary $106,400, Maximum Salary $191,800 - Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $92,500, Maximum Salary $1...
Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 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 Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: The Vice President, Regulatory Liaison will serve as the primary liaison and representative for Member Supervision executive leadership in developing and maintaining strong working relationships with external regulators including the SEC and other Federal and State Regulators. They will also serve a...
Attorney in Jericho, NY
Jericho, NY
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,...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: ORGANIZATION is seeking a highly motivated and experienced Assistant General Counsel, Regulatory to join our team. This senior-level position will provide legal advice and support in the adoption of new regulatory initiatives and serve as a subject matter expert in various areas of legal expertise. ...