Regulatory Broker Dealer Securities Attorney Jobs in New York
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Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Jan 08, 2025
SUMMARY: Law Firm Seeking Mid-Level to Senior Associate for Financial Services Compliance & Regulatory Role Overview: - Davis Wright Tremaine LLP, a leading law firm, is seeking an associate attorney with a minimum of four years’ experience in compliance and regulatory matters to join their Financial S...
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Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Dec 08, 2024
SUMMARY: Senior Counsel, Capital Markets - Legal Department Minimum 500 words Salary Information: $155,000 - $175,000 annual bonus (final offers may vary based on geography, candidate experience and expertise, bonus, and other factors) Job Title: Senior Counsel, Capital Markets Experience Information: ...
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Corporate - M&A Attorney / Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Oct 16, 2024
SUMMARY: Investment Banking Counsel (Mergers & Acquisitions and/or Capital Markets) - Vice President: - Job Title: Investment Banking Counsel (Mergers & Acquisitions and/or Capital Markets) - Corporate Title: Vice President - Location: New York, NY - Job ID: R0354979 - Full/Part-Time: Full-time - Reg...
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Attorney in New York City, NY
New York City, NY
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 Jericho, NY
Jericho, NY
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...
Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Dec 25, 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 New York City, NY
New York City, NY
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 Jericho, NY
Jericho, NY
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...
Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Dec 06, 2024
SUMMARY: USD Job Title: Senior Counsel - Capital Markets and Broker-Dealer Regulatory Attorney Experience: 8-10 years of experience, with 3-5 years of in-house experience at a broker-dealer or investment bank Salary: $250,000 - $275,000 USD Company: Apollo Capital Solutions (ACS) Location: Ne...
Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: H1: Chief Counsel & Chief Compliance Officer - Legal & Compliance Role at Global Risk and Strategy Firm H2: Join Our Team at Marsh McLennan: 3 Locations Available - New York, Chicago, and Boston Bold Headline: Seeking Experienced Legal and Compliance Professional for Hybrid Role at Marsh McLen...
Corporate - Securities and Capital Markets Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: SEO Friendly Job Title: Chief Counsel and Chief Compliance Officer at Marsh McLennan H1 Heading: Join Our Team as Chief Counsel & Chief Compliance Officer at Marsh McLennan H2 Heading: Lead Legal and Compliance for Marsh McLennan in 3 Locations Bold Headlines: - Hybrid role with flexibil...
Corporate - Securities and Capital Markets Attorney / Fintech & Blockchain Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Nov 13, 2024
SUMMARY: Summary: Law Firm: Cole-Frieman & Mallon LLP Job Title: Corporate and Securities Associate Experience: Minimum 3 years in securities law, 2 years in cryptocurrency, blockchain, and digital assets Salary: $115k - $225k (based on experience) Responsibilities: - Provide legal advice on federa...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: About FINRA FINRA is a non-governmental organization that regulates the securities industry. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and...
Litigation - Securities Litigation - Defense Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Oct 08, 2024
SUMMARY: - Job Title: Assistant Chief Counsel - Location: Washington D.C. - Time Type: Full Time - Job Requisition ID: R1090 - Organization: Public Company Accounting Oversight Board (PCAOB) - Mission-driven organization focused on global investor protection - Nonprofit organization established by Cong...
Attorney in New York City, NY
New York City, NY
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 New York City, NY
New York City, NY
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: All offers of employment at FINRA are subject to a thorough background investigation. 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, nat...
Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: H1: Senior Director, Investigations - All FINRA Locations H2: Lead and implement strategic direction of Cause Investigations program Organization: FINRA Job Title: Senior Director, Investigations Experience: Significant securities, compliance or financial regulatory experience Salary: Depende...
Attorney in New York City, NY
New York City, NY
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 Jericho, NY
Jericho, NY
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 Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: Principal Investigator, VAST - All FINRA Locations - Full Time Job Requisition ID: R-008480 The Principal Investigator position is a full-time role with the Vulnerable Adults and Seniors Team (VAST) at FINRA. VAST is a specialized unit within FINRA's National Cause and Financial Crimes Program...