Regulatory Broker Dealer Securities Attorney Jobs in Washington
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Corporate - Asset/Investment Management Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Oct 22, 2024
SUMMARY: Law Firm Seeks Investment Management Regulatory Mid-Level Associate with Strong Understanding of Federal Securities Laws H1: Join Our Leading Global Law Firm as an Investment Management Regulatory Mid-Level Associate H2: Are You an Experienced Associate with Asset Management Regulatory Experti...
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Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Sep 26, 2024
SUMMARY: Salary information: The salary range for this role in Washington, DC (Headquarters) is $192,900 - $302,400 per year. This is based on data-driven market analysis and while it is not typical for an individual to be hired at or near the top of the range, a reasonable estimate of the salary range fo...
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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...
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Attorney in Rockville, MD
Rockville, MD
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 and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, mar...
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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 Washington, DC
Washington, DC
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: H1 Friendly Headings: H1: Principal Investigator, VAST - All FINRA Locations H2: Overview of the Role H2: Essential Job Functions H2: Education and Experience Requirements H2: Salary Information H2: Important Information Bold Headlines: Principal Investigator, VAST - All FINR...
Corporate - Securities and Capital Markets Attorney in Rockville, MD
Rockville, MD
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...
Corporate - Securities and Capital Markets Attorney in Washington, DC
Washington, DC
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...
Corporate - General Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 23, 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...
Corporate - Securities and Capital Markets Attorney / Fintech & Blockchain Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Oct 08, 2024
SUMMARY: Firm-paid volunteer opportunities and charitable contributions SEO Friendly Job Title: Fintech & Financial Services Associate – Securities Law H1: Join a Growing and Creative Financial Services Practice at a Leading Law Firm in Washington, DC! H2: Exciting Opportunity for a Fintech & Fina...
Legal Staff Paralegal in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Sep 23, 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: Sep 23, 2024
SUMMARY: Director, Enforcement - Oversee a team of 5-8 attorneys handling Enforcement cases from start to finish, ensuring accurate and timely resolution. Salary Information: Varies based on location, experience, and qualifications. See below for details. Job Title: Director, Enforcement Experience: Minim...
Litigation - Securities Litigation - Defense Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 23, 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. ...
Litigation - Securities Litigation - Defense Attorney in Washington, DC
Washington, DC
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Director, Enforcement - 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 Overview: - The Enforcement Director manages a team of 5-8 attorneys respo...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 23, 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 Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Summary: Job Title: Principal Analyst, Risk Monitoring - Any Finra Location Experience: Senior-level position Salary: Depends on location, skill set, experience, and education Department: Risk Monitoring Organization: FINRA Type: Full-time Location: Any FINRA location Job Requisition ID: R...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: H1: Principal Analyst, Risk Monitoring - Any FINRA Location H2: Job Overview Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst Time Type: Full-Time Job Requisition ID: R-008249 Date Posted: Posted Today Salary Range: $92,500 - $200,200 (depending on...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: As a Strategic Advisor in Market Regulation & Transparency Services, you will play a critical role in providing leadership and strategic support to the head of Strategic Regulatory Engagement. This full-time position (posted today) requires a minimum of 10 years of experience in securities, complian...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Job Title: Principal Analyst, Risk Monitoring Organization: FINRA Location: Any FINRA Location Salary Range: $92,500 - $200,200 (Based on location and qualifications) Experience: Bachelor's degree in Finance, Accounting, Business or related field(s), or equivalent combination of educatio...
Attorney in Rockville, MD
Rockville, MD
Type: Full Time | Posted Date: Sep 23, 2024
SUMMARY: Title: Vice President, Regulatory Liaison - All FINRA Locations Salary: $175,600 - $345,700 Experience: Significant securities, compliance or financial regulatory experience Organization: FINRA Department: Office of Regulatory Liaison (ORL) Responsibilities: - Lead and strengthen the...