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Securities/FINRA matters. This role offers a compelling opportunity for a seasoned attorney to contribute to the firm's success.Duties:Manage and handle a diverse caseload, primarily focusing on Securities and FINRA cases.Conduct thorough legal research,... analysis, and document preparation.Represent clients in c...
About FINRA FINRA is a... 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, marital status, national origin,...
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...
Overview: A law firm in Los Angeles, CA, is seeking a Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. This role requires a seasoned professional with substantial experience in compliance and regulatory matters within the financial services sector....
Overview:A law firm in Los Angeles, CA, seeks a skilled and experienced Mid-Level - Senior Financial Services Compliance and Regulatory Associate Attorney. The ideal candidate will have a robust compliance and regulatory background, with specific expertise in advising registered investment...
Join Our Team at FINRA! H1: Paralegal, Enforcement... - Legal Support at FINRA H2: Essential Job... Functions: - Perform legal research for staff attorneys - Assist with preparing and sharing exhibits for testimony - Conduct customer interviews...
large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...
About FINRA FINRA is a... Regulatory Authority, Inc. FINRA is an independent, non-governmental... in the United States. FINRA works to protect investors... also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed,...
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...
in CA and possess a balanced skill set encompassing securities/FINRA work and regular professional liability defense cases. Civil litigation experience is a prerequisite, while FINRA experience is advantageous.Duties:Handle a... diverse caseload involving securities/FINRA matters and regular professional liability defense...