Regulatory Broker Dealer Securities Attorney Jobs in New York
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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: Sep 19, 2024
SUMMARY: Investment Banking Counsel (Mergers & Acquisitions and/or Capital Markets) - Vice President: - Job Title: Investment Banking Counsel (Mergers & Acquisitions and/or Capital Markets) - Vice President - Location: New York, NY - Job Type: Full Time - Posted: 13 Days Ago - Job Requisition ID: R034...
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Litigation - Securities Litigation - Defense Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: H1: Regulatory Attorney at New York Stock Exchange H2: Join NYSE Regulation as a Regulatory Attorney Overview: - The New York Stock Exchange (NYSE) is seeking a Regulatory Attorney to join NYSE Regulation. - NYSE Regulation is responsible for monitoring activities on the NYSE's equities an...
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Finance - Financial Services Regulation Attorney / Litigation - Securities Litigation - Defense Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Sep 06, 2024
SUMMARY: Additional Information Job Type: Full-time Experience: - Juris Doctor degree: 1 year (Preferred) - Legal: 5 years (Required) - Financial services: 1 year (Preferred) - Securities litigation: 1 year (Preferred) Education: - Juris Doctor (Required) Location: - New York, NY (Req...
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Finance - Banking Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Sep 13, 2024
SUMMARY: Education Juris Doctor degree from an accredited law school. Salary Information This position as a Wealth Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel is located in New York, NY and the base salary range is $199,500.00-$275,000.00. The a...
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Litigation - Securities Litigation - Defense Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: Assistant General Counsel, Regulatory - Washington, DC - Full-time position with hybrid work environment (remote/office) - Senior-level legal role with a minimum of 6-8 years of directly related experience - Responsible for providing legal advice and support for the adoption of new regulatory initi...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 04, 2024
SUMMARY: ORGANIZATION is seeking a highly motivated and experienced Assistant General Counsel, Regulatory to join our team. This senior-level position will provide legal advice and support in the adoption of new regulatory initiatives and serve as a subject matter expert in various areas of legal expertise. ...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Sep 03, 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...
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: 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 New York City, NY
New York City, NY
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,...
Corporate - Asset/Investment Management Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Aug 15, 2024
SUMMARY: Law Firm Seeks Investment Management Regulatory Mid-Level Associate with 4-6 Years of Experience H1: Join Our Team as an Investment Management Regulatory Mid-Level Associate H2: Asset Management Regulatory Experience Required - $310,000 Salary Offered Summary: Law firm is looking for ...
Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Aug 07, 2024
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...
Corporate - Securities and Capital Markets Attorney / Finance - Structured Finance Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Jul 23, 2024
SUMMARY: SEO Friendly Job Title: Legal, Securitization & Asset-backed Finance Attorney, Vice President, New York H1 Heading: Legal, Securitization & Asset-backed Finance Attorney, Vice President at Goldman Sachs H2 Heading: Join Our Legal Department as a Senior Attorney in New York Salary Informa...
Litigation - Securities Litigation - Defense Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Aug 12, 2024
SUMMARY: H1: FINRA is Hiring a Director of Enforcement H2: Manage a Team of Attorneys and Ensure High-Quality Enforcement Outcomes Organization: FINRA Location: New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX Time Type: Full time Salary Range: $127,300 - $296,100 (depending on location an...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Aug 13, 2024
SUMMARY: ©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Director, Enforcement at FINRA - Job Description and Salary Information Organization: FINRA Job Title: Director, Enforcement Experience: Minimum 7 years in securities-rel...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Aug 07, 2024
SUMMARY: SEO Friendly Job Title: Director, Enforcement H1: Director, Enforcement - Job Description and Salary Information H2: Overview of Director, Enforcement Position Bold Headlines: Director, Enforcement: Leading and Managing a Team of Attorneys Job Title: Director, Enforcement Salary Information: Sal...
Litigation - Securities Litigation - Defense Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Aug 07, 2024
SUMMARY: Director, Enforcement The Director of Enforcement is responsible for managing a team of 5-8 attorneys and overseeing the resolution of Enforcement cases from start to finish. This includes ensuring that all factual findings are well-supported and that legal frameworks are applied accurately. The ...
Litigation - Securities Litigation - Defense Attorney in Jericho, NY
Jericho, NY
Type: Full Time | Posted Date: Aug 06, 2024
SUMMARY: Director, Enforcement - Job Description Title: Director, Enforcement Location: Woodbridge, NJ; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Washington, DC; San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; Los Angeles, CA E...
Litigation - Securities Litigation - Defense Attorney in New York City, NY
New York City, NY
Type: Full Time | Posted Date: Aug 06, 2024
SUMMARY: Director, Enforcement - Job Opportunity with FINRA Responsibilities: - Manage a team of 5-8 Enforcement attorneys, overseeing all stages of Enforcement cases from inception to completion. - Ensure that all outcomes in Enforcement matters are supported by thorough and accurate factual findings...