Regulatory Broker Dealer Securities Attorney Jobs in Chicago
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Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: Job Title: Chief Counsel & Chief Compliance Officer Locations: New York, NY; Chicago, IL; Boston, MA Salary Range: $138,700 - $277,300 Responsibilities: - Serve as the trusted adviser for Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities ...
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Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: Chief Counsel & Chief Compliance Officer - Legal and Compliance Team at Marsh McLennan - Available in 3 locations: New York, NY; Chicago, IL; Boston, MA - Hybrid role with 3 days in office requirement - Oversee compliance programs for MMA Securities, MMA Asset Management, and MMC Securities - ...
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Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Organization: Public Company Accounting Oversight Board (PCAOB) Position: Deputy Chief Counsel, Division of Registration and Inspections Experience: Minimum of 15 years of relevant experience Salary: $242,000 - $399,100 per year (based on data-driven market analysis) Location: Various offices/l...
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Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: SEO Friendly Job Title: Associate General Counsel, Regulatory - Full Time H1: Join FINRA as Our Associate General Counsel, Regulatory H2: Be Part of a Dynamic and Innovative Team Organization: FINRA Department: Office of General Counsel Location: Remote/Office (Hybrid) Salary Range...
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Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Nov 17, 2024
SUMMARY: Summary: Job Title: Principal Intelligence Specialist, FIU - All FINRA Locations Organization: FINRA Job Type: Full-Time Experience Level: Advanced Salary Range: Varies by location, based on factors such as experience and education Job Requisition ID: R-008606 Location: All FINR...
Attorney in Chicago, IL
Chicago, IL
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 ...
Attorney in Chicago, IL
Chicago, IL
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 - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Oct 22, 2024
SUMMARY: Law Firm Seeking Financial Services Compliance & Regulatory Associate Davis Wright Tremaine LLP, a leading law firm with offices across the United States, is currently seeking a Financial Services Compliance & Regulatory Associate to join their dynamic team. This is a mid-level to senior associat...
Corporate - Securities and Capital Markets Attorney in Chicago, IL
Chicago, IL
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 - Contract Law Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 11, 2024
SUMMARY: Fun - We are a team that likes to have fun. We are excited about what we are building and want to enjoy the journey. Counsel – Contracts and Regulatory: Job Title: Counsel – Contracts and Regulatory H1: Join Our Legal Team as a Counsel – Contracts and Regulatory H2: Opportunity for...
Litigation - Securities Litigation - Defense Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: H1: Principal Counsel, Enforcement - Full Time Job with Organization H2: Job Overview FINRA is seeking a highly skilled and experienced Principal Counsel to join our Enforcement team. This role plays a crucial role in assessing and advocating for fair and effective outcomes in Enforcement matt...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: SEO-friendly job title: Principal Analyst, Regulatory Services Management H1: Join FINRA's Regulatory Services Management Team as a Principal Analyst H2: Apply Now for the Senior-Level Professional Role of Principal Analyst at FINRA Job Summary: - Full-time position with FINRA's Departme...
Attorney in Chicago, IL
Chicago, IL
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...
Attorney in Chicago, IL
Chicago, IL
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: H1: Strategic Advisor, Market Regulation & Transparency Services - Essential Job Functions and Requirements H2: Essential Job Functions: - Serve as a key member of the senior management team for the Department - Work closely with the head of SRE and senior management team to manage and suppor...
Attorney in Chicago, IL
Chicago, IL
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 Chicago, IL
Chicago, IL
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,...