Regulatory Broker Dealer Securities Attorney Jobs in California
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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...
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Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Culver City, CA
Culver City, CA
Type: Full Time | Posted Date: Oct 22, 2024
SUMMARY: Law Firm is seeking a mid-level to senior associate with at least four years of experience in financial services compliance and regulatory matters. This is a fantastic opportunity to join our highly regarded Financial Services Practice Group at Davis Wright Tremaine LLP. We are looking for a motivat...
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Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Oct 22, 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...
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Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Oct 22, 2024
SUMMARY: Law Firm Seeks Financial Services Compliance & Regulatory Associate H1: Join Our Market-Leading Financial Services Practice Group H2: Exciting Opportunity for Mid-level to Senior Associate Are you a highly skilled attorney with at least four years of experience in compliance and regulatory ...
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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 San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: Senior Analyst, Public Offerings - Salary Information, Job Title, and Experience JOB TITLE: Senior Analyst, Public Offerings ORGANIZATION: FINRA (Financial Industry Regulatory Authority) DEPARTMENT: Corporate Financing Public Offerings EXPERIENCE: 3-5 years of related financial industry ...
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...
Attorney in Los Angeles, CA
Los Angeles, 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 equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, sex, gender identity, sexual orientation, national origin, age, dis...
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...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: H1: Senior Principal Analyst, Risk Monitoring – Large Diversified – All FINRA Locations H2: Job Description and Requirements for Senior Principal Analyst Position Organization: FINRA Job Title: Senior Principal Analyst, Risk Monitoring Experience: Prior experience in FINRA's Exam and/or Ri...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 25, 2024
SUMMARY: Introducing: Senior Principal Analyst, Risk Monitoring – Large Diversified – All FINRA Locations Full-time position available at FINRA, with competitive salary and comprehensive benefits package. Join our team and make a difference in the financial industry as a leader in risk monitoring and ...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: "Principal Investigator, VAST - All FINRA Locations: A full-time position with FINRA, the Vulnerable Adults and Seniors Team (VAST) is looking for a Principal Investigator to join their specialized unit within the National Cause and Financial Crimes Program (NCFC). The role involves investigating fi...
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: FINRA abides by the requirements of 29 CFR Part 471, Appendix A. This regulation prohibits discrimination against qualified individuals on the basis of race, color, religion, sex, national origin, age and disability. FINRA abides by the requirements of 29 CFR 2550.404a-3(j)(3). This regulation pr...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
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. 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: Sep 23, 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 - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
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 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...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Summary: Investigative Director, Specialist Team - All FINRA Locations FINRA is seeking an Investigations Director, Specialist Team, to manage examinations and investigations of broker-dealers' compliance with applicable rules and regulations, and financial crimes. This is a senior-level posit...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Investigative Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable r...