Regulatory Broker Dealer Securities Attorney Jobs in Los Angeles
-
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...
-
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 ...
-
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 - 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...
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 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 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 Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: The organization is seeking a Senior Director of Risk Monitoring to join their team in one of their various locations across the United States. This individual will be responsible for providing strategic leadership in a specific Firm Group or Sub-Group's Risk Monitoring efforts and ensuring consiste...
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...
Litigation - Securities Litigation - Defense Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: The organization is seeking an experienced Assistant General Counsel, Regulatory to join their team. The ideal candidate will have a law degree from an accredited law school, admission to a bar, and a minimum of 6-8 years of directly related legal experience. They should also have advanced knowledge...
Attorney in Los Angeles, CA
Los Angeles, CA
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,...