Regulatory Broker Dealer Securities Attorney Jobs in California
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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: Jan 08, 2025
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: Jan 08, 2025
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: Jan 08, 2025
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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Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Jan 08, 2025
SUMMARY: Senior Director, Operations, Procedures and Standards - All FINRA Locations Apply Logo Senior Director, Operations, Procedures and Standards - All FINRA Locations Apply Logo locations Woodbridge, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Post...
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Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Dec 25, 2024
SUMMARY: Principal Analyst, Risk Monitoring - All FINRA Locations Apply Logo time type Full time posted on Posted 7 Days Ago job requisition id R-008728 Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring D...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Director State Relations Government Affairs Apply Logo remote type Remote time type Full time posted on Posted 7 Days Ago job requisition id R-008665 To support the Senior Director, State Affairs, Office of Government Affairs, and the Office of Government Affairs team in man...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Principal Analyst, Risk Monitoring - All FINRA Locations Apply Logo time type Full time posted on Posted 7 Days Ago job requisition id R-008728 Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring D...
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...
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...
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:...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Dec 10, 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: Dec 10, 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 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: Dec 10, 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 San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Dec 10, 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 Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: Senior Director, Investigations - All FINRA Locations Salary Information: Minimum Salary: $149,600 (CO/HI/MN/VT), $164,500 (IL), $171,900 (CA/WA/MD/Washington, DC), $179,600 (Jersey City, NJ/NY, NY) Maximum Salary: $292,600 (CO/HI/MN/VT), $322,200 (IL), $351,200 (CA/WA), $336,600 (MD/Washin...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: 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, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status ...
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...