Regulatory Broker Dealer Securities Attorney Jobs in Denver
-
Corporate - Securities and Capital Markets Attorney / Fintech & Blockchain Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Nov 13, 2024
SUMMARY: Corporate and Securities Associate Position at Prestigious Law Firm in San Francisco, New York, or Denver H1: Join Our Team as a Corporate and Securities Associate at a Top Law Firm in San Francisco, New York, or Denver H2: Exciting Opportunity for Experienced Corporate and Securities Associat...
-
Corporate - General Attorney / Corporate - Securities and Capital Markets Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: Deputy Chief Counsel, Division of Registration and Inspections: Salary Information, Job Title, and Experience Information Salary Information: - Compensation ranges from $242,000 - $399,100 per year, based on market analysis - Immediate vesting and contributions matched dollar for dollar, up to 7% o...
-
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Oct 01, 2024
SUMMARY: Senior Litigation Counsel, Enforcement - Full Time Locations: Washington, DC, Jersey City, NJ, Jericho, NY, Denver, CO, Dallas, TX, Chicago, IL, Boston, MA, Boca Raton, FL, Woodbridge, NJ, San Francisco, CA, Rockville, MD, Philadelphia, PA, New York, NY, Los Angeles, CA Salary: Dependent on locati...
-
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Oct 30, 2024
SUMMARY: Director, Member Supervision Strategic Engagements & Publications - Any FINRA Location Full time Posted Today Job Requisition ID: R-008594 FINRA is seeking a Director, Member Supervision Strategic Engagements & Publications to join our team. This position can be located in any FINRA offi...
-
Attorney in Denver, CO
Denver, CO
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 - Securities and Capital Markets Attorney in Denver, CO
Denver, CO
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 Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Director, Enforcement - Woodbridge, NJ/Jersey City, NJ/Jericho, NY/Denver, CO/Dallas, TX Full Time - R-008297 - Posted Today The Organization is currently seeking a highly qualified Director, Enforcement to join our team in multiple locations. This is a full-time position with competitive comp...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 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 ...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: In this role, the Principal Counsel, Enforcement, will be responsible for providing legal expertise and guidance in matters related to enforcement for the organization. They will work closely with investigative staff, conduct research, and develop legal strategies to assess and prosecute cases. The ...
Litigation - Securities Litigation - Defense Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: Job Title: Assistant General Counsel, Regulatory (Remote/Hybrid) Organization: FINRA (Financial Industry Regulatory Authority) Experience: Minimum 6-8 years of directly related legal experience Salary Range: - California: $146,200 - $296,100 - Colorado/Hawaii/Minnesota/Vermont: $127,300 - $246,...
Attorney in Denver, CO
Denver, CO
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 Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: #H1: Principal Analyst, Risk Monitoring - Any FINRA Location #H2: Conduct Risk Monitoring Activities for FINRA Members Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst, Risk Monitoring Job Type: Full-Time FINRA, the Financial Industry Regulatory Authority, is cu...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: H1: Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst Experience: Senior-level Job Type: Full-Time Salary: Based on location and factors such as experience and education, ranging f...
Attorney in Denver, CO
Denver, CO
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Strategic Advisor, Market Regulation & Transparency Services - Essential Job Functions: - Provides critical leadership and strategic support to the head of Strategic Regulatory Engagement in Market Regulation & Transparency Services (MRTS) - Acts as a strategic thought partner and trusted adviso...
Attorney in Denver, CO
Denver, CO
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,...
Attorney in Denver, CO
Denver, CO
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...