Regulatory Broker Dealer Securities Attorney Jobs in Rockville
-
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 27, 2024
SUMMARY: LPL Financial is currently seeking a VP, Associate Counsel to join their Regulatory Enforcement group within the Legal department. This position is available in Fort Mill, SC, Washington, DC, Boston, MA, or San Diego, CA and offers a competitive salary range of $163,700.00 - $272,900.00. The ideal c...
-
Advertising & Marketing Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 31, 2024
SUMMARY: Director, Associate General Counsel (Marketing & Communications Experience) This job is available in 4 locations *You'll be able to select your preferred location/s during the apply process New York, New York, United States of America Frisco, Texas, United States of America Charlotte, North ...
-
Attorney in Rockville, MD
Rockville, MD
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 Rockville, MD
Rockville, MD
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 Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Lead Principal, Enforcement Central Intake Group Apply Logo locations Rockville, MD (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL (Job Posting) Boston, MA (Job Posting) Boca Raton,...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Principal Investigator, Anti-Fraud Investigations - All FINRA Locations Apply Logo locations Rockville, MD (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job Posting) Boca Raton, FL (Job ...
Attorney in Washington, DC
Washington, DC
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 Washington, DC
Washington, DC
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 Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Director State Relations Government Affairs Apply Logo remote type Remote locations Washington, DC (Job Posting) Kansas City, MO (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) locations Boston, MA (Job Posting) Boca Raton, FL (Job...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 24, 2024
SUMMARY: Director, Government Affairs Apply Logo locations Washington, DC (Job Posting) time type Full time posted on Posted 7 Days Ago job requisition id R-008664 To support the Vice President, Federal Affairs, Office of Government Affairs, and the Office of Government Affairs team ...
Corporate - General Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: Vice President, Corporate Financing Department - Salary Information Salary Range: $175,600 - $345,700 Job Title: Vice President, Corporate Financing Experience: Minimum of 10 years in the securities industry with experience in FINRA's Corporate Financing Rules Organization: FINRA (Financ...
Litigation - Securities Litigation - Defense Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 10, 2024
SUMMARY: Associate General Counsel, Regulatory: H1: Join FINRA as an Associate General Counsel, Regulatory H2: Lead Regulatory Initiatives and Rule Changes Organization: FINRA Department: Office of General Counsel Job Title: Associate General Counsel, Regulatory Job Type: Full-Time Location: Rem...
Legal Staff Paralegal in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. H1: Senior Paralegal, Oversight Liaison and Counsel - Full Time Position with FINRA H2: Join Our Team and Make a Difference in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) D...
Litigation - Securities Litigation - Defense Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: About FINRA 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 public trust. FINRA employs a diverse workforce and is an Equal Opportunity Employer. ...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: 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, national origin, race, religion, sex, sexual orientation, gender identity, veteran status ...
Attorney in Rockville, MD
Rockville, MD
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 Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Nov 22, 2024
SUMMARY: H1: Principal Investigator, VAST - All FINRA Locations H2: Job Description, Responsibilities, and Requirements Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Investigator, VAST Location: Multiple Locations (see list below) Employment Type: Full Time Salary...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Nov 12, 2024
SUMMARY: H1: Apply for the Position of Principal Intelligence Specialist at FINRA H2: Join the Financial Intelligence Unit and Enhance Investor Protection Organization: FINRA (Financial Industry Regulatory Authority) Job Title: Principal Intelligence Specialist Experience: Bachelor's degree or equivale...
Attorney in Washington, DC
Washington, DC
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 accomm...
Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Nov 26, 2024
SUMMARY: Senior Director, Investigations - All FINRA Locations The organization FINRA is currently seeking a Senior Director, Investigations to lead and implement the strategic direction of the Cause Investigations program across all FINRA locations. This is a full-time position and the successful candida...