EMPLOYMENT TUESDAY at BrokeAndBroker.com

• Supervisory Principal 

  NEW

  Asian American Lawyers Association of Massachusetts (aalam)

   - Remote, OR

  broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

  6 hours ago from The Asian American Lawyers Association...

   

• Vice President - Product Solutions 

  NEW

  BNY Mellon

   - Jersey City, NJ

  • Develop and manage the advisor and Broker/Dealer onboarding experience ... • Ongoing oversight of the advisor and Broker/Dealer toolset to ensure it continues to mee...

  7 hours ago from BNY Mellon

   

• Corporate Compliance - AML Surveillance - Vice President 

  NEW

  JPMorgan Chase

   - New York City, NY

  within the surveillance group in JPMorgan's compliance department. The group is primarily ... • Relevant regulatory or broker-dealer experience such as a role in compliance,...

  8 hours ago from JPMorgan Chase & Co

   

• Corporate Compliance - AML Surveillance - Associate 

  NEW

  JPMorgan Chase

   - New York City, NY

  within the surveillance group in JPMorgan's compliance department. The group is primarily ... • Relevant regulatory or broker-dealer experience such as a role in compliance,...

  8 hours ago from JPMorgan Chase & Co

   

• New Account Principal I-Chase Wealth Management 

  NEW

  JPMorgan Chase

   - Columbus, OH

  required This position is part of the retail broker dealer business. The successful ... Ensure compliance with all department and regulatory (AML, SEC, FINRA, etc) account openin...

  8 hours ago from JPMorgan Chase & Co

   

• Legal Counsel 

  NEW

  Fidelity Investments

   - Westlake, TX

  Provide legal support and advice to Fidelity broker-dealer entities on matters pertaining ... experience in retirement and broker dealer law, specifically, experience in...

  8 hours ago from Fidelity Investments

   

• Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE)

  NEW

  Financial Industry Regulatory Authority (finra)

   - New York, NY

  enforced by FINRA; performs preventive compliance functions. Presents investigative ... their broker-dealers to provide FINRA with duplicate statements for all of those...

  9 hours ago from Just Jobs

   

• Compliance Examiner - Member Regulation, Sales Practice 

  NEW

  Financial Industry Regulatory Authority (finra)

   - New York, NY

  reports to broker-dealer executives and FINRA management, including information ... to interact with broker-dealer and FINRA senior managers. To be considered for...

  9 hours ago from Just Jobs

   

• Financial Operations Examiner - Market Regulation, Trading & Financial ComplianceExaminations 

  NEW

  Financial Industry Regulatory Authority (finra)

   - New York, NY

  to numerous areas of a broker-dealer's business. Some travel may be required. FINRA ... to authorize theirbroker-dealers to provide FINRA with duplicate statements for all of...

  9 hours ago from Just Jobs

   

• Examination Manager - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Financial Operations 

  NEW

  Financial Industry Regulatory Authority (finra)

   - New York, NY

  regulator. FINRA employees are required to disclose to FINRA all brokerage ... to authorize their broker-dealers to provide FINRA with duplicate statements for all of...

  9 hours ago from Just Jobs

   

• Regulatory Coordinator - Member Regulation, Sales Practice 

  NEW

  Financial Industry Regulatory Authority (finra)

   - New York, NY

  relevant data to ensure compliance with FINRA and SEC rules and regulations. ... their broker-dealers to provideFINRA with duplicate statements for all of those...

  9 hours ago from Just Jobs

   

• Alternative Net Capital (ANC) Examiner - Member Regulation, ROOR 

  NEW

  Financial Industry Regulatory Authority (finra)

   - New York, NY

  Exposure to numerous areas of a broker-dealer's business. Overnight travel ... qualified protected veterans. ©2015 FINRA. All rights reserved. FINRA is a...

  9 hours ago from Just Jobs

   

• Supervisory Principal 

  NEW

  Lpl Financial

   - Remote, OR

  broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

  9 hours ago from LPL Financial

   

• Compliance Manager - Political Law 

  NEW

  Prudential Financial

   - Newark, NJ

  some Investment Advisor and Broker Dealer compliance experience. Primary ... Act") and the Rules there underBroker Dealer and FINRA rules Securities...

  10 hours ago from Prudential Financial, Inc

   

• Region Administration Manager 

  NEW

  US Bank

   - Boulder, CO

  and procedures. Ensure compliance regarding FINRA and SEC regulatory standards. Onboard ... or equivalent work experience in broker dealer sales operations - Five or more years...

  11 hours ago from US Bank

   

• Field Auditor - NRS - New Jersey - Homebased 

  NEW

  Elsevier

   - New Jersey

  and services to Investment Advisors, Broker\-Dealers, Hedge\-Funds, Banks and ... for branch and home office locations for Broker\-Dealers and mock regulatory audits...

  11 hours ago from Women's Career Channel

   

• Assoc Compliance Analyst 

  NEW

  ING Financial Services

   - Windsor, CT

  advertising compliance support to Voya broker/dealers; consistently review and ... * Provide ongoing support for retail broker/dealer's expanded social media and recruiting...

  11 hours ago from A Mighty River

   

• Assistant General Counsel, Investment and Investment Advisory 

  NEW

  San Francisco, CA

  Maintain, draft and monitor compliance with policies and procedures Support ... matters Familiarity with broker-dealer regulation, including SEC/FINRA...

  12 hours ago from IvyExec

   

• Quantitative Research Analyst/Financial Engineer 

  NEW

  Securities and Exchange Commission

   - Boston, MA

  the nation's registered entities, including broker-dealers, transfer agents, investment ... advisers, investment companies, broker-dealers, and private fund managers, conducting...

  15 hours ago from QuantFinanceJobs.com

   

• Financial Associate 

  NEW

  Webster Bank

   - Groton, CT

  interactions are in in compliance with FINRA regulations (e.g., orderly customer ... requirements of the BrokerDealer/RIA. • FA will also have responsibility to...

  21 hours ago from Webster Bank

   

• Investment Management Associate Senior Associate - Securities 

  NEW

  Leading Law Firm

   - Washington, DC

  and representing investment advisers, broker-dealers, hedge funds, securities ... or securities trade associations regarding compliance with federal and state securities...

  22 hours ago from IvyExec

   

• Municipal Securities Compliance Officer 

  NEW

  Leading Global Financial Services Firm

   - New York City, NY

  Primary Responsibilities · Provide Compliance support for Public Finance ... of broker-dealer regulatorycompliance including MSRB, FINRA, and SEC...

  22 hours ago from IvyExec

   

• Compliance Manager 

  NEW

  European Leader In Global Banking and Financial Services

   - San Francisco, CA

  Compliance Helps develop Business Unit compliance training programs Participates in ... Strong knowledge of bank/broker-dealer compliance Compliance expertise in investment...

  22 hours ago from IvyExec

   

• Asset Wealth Management - Regulatory Marketing Review Group 

  NEW

  Top Tier Financial Services Company

   - Jacksonville, FL

  Collaboration with internal partners/Legal/Compliance/provide guidance for review of inter ... materials from an investment adviser, broker-dealer, and private bank regulatory...

  22 hours ago from IvyExec

   

• Analyst, Quantitative Analytics 

  NEW

  Independent Securities Regulator

   - New York City, NY

  of market participants in mainly Broker-Dealer space. ADAU staff will support ... Participate in examinations ofbroker-dealers, conducting interviews of compliance profess...

  22 hours ago from IvyExec

• Associate Director, Quantitative Analytics 

  NEW

  Independent Securities Regulator

   - New York City, NY

  of market participants in mainly Broker-Dealer space. ADAU staff will support ... Regulation staff during the examinations of broker-dealers by conducting interviews of...

  22 hours ago from IvyExec

   

• VP Premier Relationship Manager 

  NEW

  Major Banking and Financial Services Company

   - Rockville, MD

  Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance ... Global ComplianceOfficer, Area Compliance Officer or Local Compliance Officer. The...

  22 hours ago from IvyExec

   

• AVP & Counsel (Distribution) 

  NEW

  Leading Insurance Company

   - Springfield, MA

  Services, LLC. (MMLIS), a registered broker-dealer and investment adviser, and ... on retail investment advisory and broker-dealer product development o Providing...

  22 hours ago from IvyExec

   

• Regulatory Analyst - Market Regulation, Fixed Income 

  NEW

  Finra

   - Rockville, MD

  FINRA; performs preventive compliance functions.Ã? Presents investigative findings ... of FINRA and no fee will be paid in the event that person is hired by FINRA. Ã? Ã?Â...

  1 day ago from The Washington Post

   

• Analyst, Advertising Regulation 

  NEW

  Finra

   - Rockville, MD

  of securities and broker-dealer services and methods of marketing required. Thorough ... their broker-dealers to provide FINRA with duplicate statements for all of those accounts...

  1 day ago from The Washington Post

   

• Public Offerings Analyst, Corporate Financing 

  NEW

  Finra

   - Rockville, MD

  arrangements for compliance with FINRA/NASD and SEC rules and federal ... www.finra.org/careers Ã? into your browser to reach our site directly. Ã? FINRA...

  1 day ago from The Washington Post

   

• Senior Analyst/Manager, Office of Ombudsman, Rockvlle,MD 

  NEW

  Finra

   - Washington, DC

  also work with FINRA constituents and FINRA departments to explore options to help ... FINRA Careers site, enter www.finra.org/careers into your browser to reach our site...

  1 day ago from The Washington Post

   

• Senior Application Security Engineer 

  NEW

  Finra

   - Rockville, MD

  regulator. FINRA employees are required to disclose to FINRA all brokerage accounts ... authorize their broker-dealers to provide FINRA with duplicate statements for all of...

  1 day ago from The Washington Post

   

• Surveillance Analyst 

  NEW

  First Investors

   - Edison, NJ

  Corporation ("FIC"), a FINRA member broker dealer and its affiliated retail ... preferably with a FINRA memberbroker dealer or SEC registered investment adviser;...

  1 day ago from Glassdoor

   

• KYC Analyst II 

  NEW

  Kforce Inc.

   - Lake Mary, FL

  7-10 years of relevant experience preferred Compliance/Anti-Money Laundering experience ... experience) Working knowledge of Introducing Broker Dealers and FINRA regulations Working...

  1 day ago from CareerRookie.com

   

• Advertising Compliance Analyst 

  NEW

  First Investors

   - New York City, NY

  ESSENTIAL DUTIES AND RESPONSIBILITIES: SEC and FINRA compliance review of marketing/public ... preferably with a FINRA member broker dealer or SEC registered investment adviser;...

  1 day ago from Glassdoor

   

• ALR Internal Life Wholesaler II 

  NEW

  Allstate

   - Northbrook, IL

  The internal wholesaler is responsible for supporting strict adherence to broker/dealer po ... Expertise in FINRA, SEC, Broker/Dealer compliance requirements...

  2 days ago from Women's Career Channel

   

• VP Senior Branch Manager 

  NEW

  HSBC

   - Miller Place, NY

  needs and aspirations. Role as broker-dealer Registered Representative Assist in ... Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance...

  2 days ago from HSBC

   

• Lead Broker Dealer Principal (Series 24 or 9 & 10 License Required) 

  NEW

  MetLife

   - Charlotte, NC

  new account applications from broker dealer distribution channels to ensure all ... business cases for compliancewith internal, FINRA , and SEC suitability and replacement...

  2 days ago from InsuranceJobs.com

   

• Analyst, Quantitative Analytics 

  NEW

  Financial Industry Regulatory Authority

   - New York, NY

  of broker-dealers, conducting interviews of compliance professionals and ... with the employee) and to authorize their broker-dealers to provide FINRA with...

  2 days ago from IHispano

   

• Manager, Securities Retiree Helpline 

  NEW

  Finra

   - Boca Raton, FL

  and to authorize their broker-dealers to provide FINRA with duplicate statements for ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an...

  3 days ago from Jofdav

   

• Analyst, Securities Retiree Helpline 

  NEW

  Finra

   - Boca Raton, FL

  and to authorize their broker-dealers to provide FINRA with duplicate statements for ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an...

  3 days ago from Jofdav

   

• Communications Specialist 

  NEW

  Federal Government Jobs

   - Washington, DC

  nation's registered entities, including broker-dealers, transfer agents, investment ... Industry Regulatory Authority ("FINRA") and the Municipal Securities Rulemaking...

  3 days ago from The AFRO-American

   

• Branch Examiner 

  NEW

  UBS - Finance Industry

   - Weehawken, NJ

  identify red flag issues and determine compliance with firm and regulatory rules and ... • Series 7 licensed andbroker/dealer branch experience preferred Preferred Qualifications...

  3 days ago from VelvetJobs

   

• Regulatory Inquiries Group - Vice President 

  NEW

  Morgan Stanley - Finance Industry

   - New York City, NY

  of Morgan Stanley's North American broker-dealer entities (principally MSCO and ... organization such as the NYSE, FINRA, AMEX, SEC or similar broker/dealer regulatory...

  3 days ago from VelvetJobs

   

• Examination Manager - Member Regulation, ROOR 

  NEW

  Financial Industry Regulatory Authority (finra)

   - New York, NY

  and initiative, consider a career with FINRA. Important Information FINRA's Code of ... the employee) and to authorize their broker-dealers to provide FINRA with duplicate...

  3 days ago from Just Jobs

   

• AVP, Compliance Officer 

  NEW

  Financial, Nyc

   - New York City, NY

  accounts to assess compliance with any or all of SEC, FINRA, non-US, and Ares internal ... of FINRA rules forBroker Dealers •Interpretation of Regulation •Working knowledge...

  3 days ago from Financial, NYC

   

• SVP Recruiting and Acquistion Strategy 

  NEW

  AIG

   - Phoenix, AZ

  Royal, FSC, SagePoint and Woodbury Financial broker dealers. In addition the incumbent ... EVP of Recruiting Strategy and respective Broker Dealer Presidents to identify,...

  3 days ago from Internship.com

   

• CT - Ops Risk Control Manager 

  NEW

  BNY Mellon

   - Jersey City, NJ

  scenes to power transformational change for broker-dealers, registered investment ... and promote a strong control and regulatory compliance culture. Ensures proper functional...

  3 days ago from BNY Mellon

   

• Compliance Officer 

  NEW

  Hanson McClain Advisors

   - Sacramento, CA

  registered representatives on complex broker-dealer / investment adviser issues, FINRA, ... enhancing, developing and implementing compliance policies and procedures; assisting...

  3 days ago from Accolo

• International Financial Services Regulatory Associate 

  NEW

  Bressler, Amery & Ross, P.C.

   - Miami, FL

  Associate will assist in counseling broker-dealers, investment advisers, and banks on ... candidate will have experience with SEC, FINRA and broker-dealer regulations. Some...

  3 days ago from Legal Career Network

   

• Compliance Manager at Top Asset Management Firm 

  NEW

  Forum Group

   - Manhattan, NY

  representatives for FINRA and SEC compliance Position Requirements BA/BS required ... of Canadian regulation of advisers and broker dealers preferred. FINRA/NFA licenses...

  3 days ago from eFinancial Careers

   

• Associate / Associate Director (Finance) 

  NEW

  BOC International

   - New York City, NY

  Provide support to fulfill the financial compliance requirement under the CFTC / CME or ... 4+ years working experiences in broker-dealer / brokerage / commodities / audit...

  3 days ago from eFinancial Careers

   

• Regulatory Attorney with 2-4 years of corporate experience 

  NEW

  BCG Attorney Search

   - Miami, FL

  The candidate will assist in counseling broker-dealers, investment advisers, and ... matters. Must have experience with SEC, FINRA and broker-dealer regulations. Some...

  3 days ago from BCG Attorney Search

   

• Regulatory Attorney with 2-4 years of corporate/SEC experience 

  NEW

  BCG Attorney Search

   - Fort Lauderdale, FL

  The candidate will assist in counseling broker-dealers, investment advisers, and ... matters. Must have experience with SEC, FINRA and broker-dealer regulations. Some...

  3 days ago from BCG Attorney Search

   

• Compliance Specialist - Registration and Licensing 

  NEW

  Edelman Financial Services

   - Fairfax, VA

  management systems used to support the Compliance Department Requirements: Bachelor's ... insurance licensing and broker/dealer registration processing experience...

  3 days ago from The Washington Post

   

• SVP Recruiting and Acquistion Strategy 

  NEW

  AIG

   - Atlanta, GA

  Royal, FSC, SagePoint and Woodbury Financial broker dealers. In addition the incumbent ... EVP of Recruiting Strategy and respective Broker Dealer Presidents to identify,...

  4 days ago from Internship.com

   

• Director, Compliance - Advertising Review

  Ameriprise Financial

   - Minneapolis, MN

  a team of Compliance Officers performing compliance/advertising review of marketing ... compliance/advertising review for Broker/Dealer and/or Registered Investment Adviser...

  4 days ago from Disabled Persons

   

• Vice President - Investment Performance Reporting, Advice & Wealth Management (AWM)

  Ameriprise Financial

   - Minneapolis, MN

  into consideration all needs of the broker-dealer (end client (novice to sophisticated ... in investment performance reporting within a broker-dealer organization * Bachelor's...

  4 days ago from Disabled Persons

   

• Senior Compliance Officer, Surveillance

  Finra Member Broker-dealer

   - New York City, NY

  years FINRA Member Broker-Dealer tenure as a Compliance Officer. May consider Registered ... and knowledge about the regulation of member broker-dealers by FINRA including Anti-Money...

  4 days ago from StartWire

   

• Senior Auditor, Retirement Solutions

  ING Financial Services

   - Windsor, CT

  5-year basis2 * Atop-tierindependent broker-dealer network in the U.S.3 * ... Experience with State Insurance requirements, NAIC, SEC, and/or FINRA regulation is prefer...

  4 days ago from Women's Career Channel

   

• Chief Anti Money Laundering Compliance Officer

  Management Consulting and Professional Services Firm

   - St Louis, MO

  required. 10+ years senior level Compliance experience with a Broker-Dealer or a ... Prior experience dealing withFINRA, SEC, OCC, FRB required. Examinations for...

  4 days ago from IvyExec

   

• Counsel Litigation (105195-1)

  TD Ameritrade

   - Jersey City, NJ

  corporate and commercial law, and broker dealer regulations * Experience ... member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD)...

  4 days ago from TD Ameritrade

   

• Counsel Litigation (105195)

  TD Ameritrade

   - Omaha, NE

  corporate and commercial law, and broker dealer regulations * Experience ... member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD)...

  4 days ago from TD Ameritrade

   

• Trade Surveillance Analyst (00975496)

  Michael Page International - US

   - New York City, NY

  required to work for an investment bank and broker dealer in New York. Client Details Our ... a full-service, investment bank and broker-dealer that specializes in the financial...

  4 days ago from eFinancialCareers Ltd

   

• Compliance Officer - Branch Inspections & Controls (00981616)

  Michael Page International - US

   - Jersey City, NJ

  controls testing program required by FINRA Rules 3110 and 3120. * Conduct branch ... Your background may be from another bank/broker dealer or from a regulator...

  4 days ago from eFinancialCareers Ltd

   

• Compliance VP (00957694)

  Michael Page International - US

   - Newark, NJ

  experience such as Investment Advisor or Broker Dealer compliance, law, ethics and ... Act) and the Rules there under * Broker Dealer and FINRA rules * Securities...

  4 days ago from eFinancialCareers Ltd

   

• Vice President, Compliance (00964137)

  Situs

   - Houston, TX

  government and regulatory compliance, with focus on broker-dealer and ... and a commitment to compliance, training, and prevention and detection of compliance...

  4 days ago from eFinancialCareers Ltd

   

• Vice President, Compliance (00937246)

  CRT Capital Group

   - Stamford, CT

  either via the firm's automated compliance applications or through manual monitoring ... Auction procedures and GSE Dealer Agreements is a plus. Additionally, candidates...

  4 days ago from eFinancialCareers Ltd

   

• Examination Manager - Member Regulation, Sales Practice - San Francisco, CA(Job Number: 004130) (00945623)

  Finra

   - San Francisco, CA

  employee) and to authorize their broker-dealers to provide FINRA with duplicate statements ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA...

  4 days ago from eFinancialCareers Ltd

   

• Regulatory Coordinator - Member Regulation, Sales Practice - New York, NY(Job Number: 004140) (00945626)

  Finra

   - New York City, NY

  their broker-dealers to provide FINRA with duplicate statements for all of those ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA...

  4 days ago from eFinancialCareers Ltd

   

• Alternative Net Capital (ANC) Examiner - Member Regulation, ROOR - New York, NY(Job Number: 004233) (00966636)

  Finra

   - New York City, NY

  * Exposure to numerous areas of a broker-dealer's business. * Overnight travel ... qualified protected veterans. ©2015 FINRA. All rights reserved. FINRA is a...

  4 days ago from eFinancialCareers Ltd

   

• Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 004212) (00966638)

  Finra

   - New York City, NY

  financial and operational condition and compliance with SEC and FINRA rules and ... of a broker-dealer's business. * FINRA examiners work in a team environment, frequently...

  4 days ago from eFinancialCareers Ltd

   

• Associate Director, Quantitative Analytics - New York, NY(Job Number: 004181) (00967100)

  Finra

   - New York City, NY

  broker-dealers by conducting interviews of compliance professionals and ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an...

  4 days ago from eFinancialCareers Ltd

   

• Public Offerings Analyst, Corporate Financing - Rockville, MD(Job Number: 004235) (00976991)

  Finra

   - Rockville, MD

  proposed underwriting arrangements for compliance with FINRA/NASD and SEC rules and ... and to authorize their broker-dealers to provide FINRA with duplicate statements for all...

  4 days ago from eFinancialCareers Ltd

• Associate General Counsel 

  NEW

  Pcaob

   - Washington, DC

  The PCAOB also oversees the audits of broker-dealers, including compliance reports ... regular position for an Associate General Counsel at its Washington, DC headquarters...

  21 hours ago from Glassdoor

   

• AVP & Counsel (Distribution) 

  NEW

  Leading Insurance Company

   - Springfield, MA

  LLC. (MMLIS), a registered broker-dealer and investment adviser, and MassMutual's ... on retail investment advisory and broker-dealer product development o Providing...

  22 hours ago from IvyExec

   

• Sr Counsel 

  NEW

  ING Financial Services

   - New York, NY

  5-year basis2 * Atop-tierindependent broker-dealer network in the U.S.3 * ... are the job responsibilities? The Senior Counsel, M&A and Corporate Transactions will...

  1 day ago from Professional Diversity Network

   

• Regulatory Policy Specialist, Office of General Counsel 

  NEW

  Finra

   - Washington, DC

  Attorneys in the Office of General Counsel (OGC) in connection with the complete ... to authorize their broker-dealers to provide FINRA with duplicate statements for all of...

  1 day ago from The Washington Post

   

• Enforcement Counsel 

  NEW

  Finra

   - Rockville, MD

  hearings as its staff attorney, including marshaling, organizing and presenting ... broker-dealers to provide FINRA with duplicate statements for all of those accounts .

  1 day ago from The Washington Post

   

• Corporate Counsel Job 

  NEW

  Bloomberg

   - New York City, NY

  and foreign laws, coordinate with outside counsel, draft product descriptions, draft ... Knowledge of U.S. securities laws, including broker-dealer regulation, desirable The...

  3 days ago from Bloomberg

   

• International Financial Services Regulatory Associate 

  NEW

  Bressler, Amery & Ross, P.C.

   - Miami, FL

  Associate will assist in counseling broker-dealers, investment advisers, and banks on ... will have experience with SEC, FINRA and broker-dealer regulations. Some corporate...

  3 days ago from Legal Career Network

   

• Regulatory Attorney with 2-4 years of corporate experience 

  NEW

  BCG Attorney Search

   - Miami, FL

  The candidate will assist in counseling broker-dealers, investment advisers, and ... Must have experience with SEC, FINRA and broker-dealer regulations. Some corporate...

  3 days ago from BCG Attorney Search

   

• Regulatory Attorney with 2-4 years of corporate/SEC experience 

  NEW

  BCG Attorney Search

   - Fort Lauderdale, FL

  The candidate will assist in counseling broker-dealers, investment advisers, and ... Must have experience with SEC, FINRA and broker-dealer regulations. Some corporate...

  3 days ago from BCG Attorney Search

   

• Paralegal, Enforcement

  Finra

   - Chicago, IL

  matters at the directions of the regional attorney such as assisting with indexing ... authorize their broker-dealers to provide FINRA with duplicate statements for all of...

  4 days ago from Disabled Persons

   

• Counsel Litigation (105195-1)

  TD Ameritrade

   - Jersey City, NJ

  Outside Counsel and other TD Ameritrade counsel in defending larger lawsuits and ... corporate and commercial law, and broker dealer regulations * Experience...

  4 days ago from TD Ameritrade

   

• Counsel Litigation (105195)

  TD Ameritrade

   - Omaha, NE

  Outside Counsel and other TD Ameritrade counsel in defending larger lawsuits and ... corporate and commercial law, and broker dealer regulations * Experience...

  4 days ago from TD Ameritrade

   

• Assistant General Counsel - Municipal Securities (00983113)

  Michael Page International - US

   - Manhattan, NY

  General Counsel's Office (GCO) is seeking an attorney to provide transactional and ... * Experience with municipal finance, broker-dealer regulation and derivatives a...

  4 days ago from eFinancialCareers Ltd

   

• Assistant General Counsel - Municipal Securities (00983230)

  Michael Page International - US

   - Manhattan, NY

  General Counsel's Office (GCO) is seeking an attorney to provide transactional and ... * Experience with municipal finance, broker-dealer regulation and derivatives a...

  4 days ago from eFinancialCareers Ltd

   

• Paralegal, Enforcement

  Finra

   - Chicago, IL

  matters at the directions of the regional attorney such as assisting with indexing ... to authorize their broker-dealers to provide FINRA with duplicate statements for all of...

  4 days ago from Internship.com

   

• Investment Adviser with 5+ years of experience

  BCG Attorney Search

   - New York City, NY

  New York based company is seeking an attorney for an indefinite contract attorney attorney ... with 5+ years of investment adviser and/or broker-dealer compliance experience with...

  4 days ago from BCG Attorney Search

   
• Director, Enforcement Center

• Finra

   - Rockville, MD

  during discussions with outside counsel, in settlement negotiations, and ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements...

  5 days ago from Jofdav

   

• Counsel - Market Regulation, Legal

  Finra

   - Rockville, MD

  Counsel, Litigation, or Assistant Chief Counsel, Quality of Markets to the Market ... employee) and to authorize their broker-dealers to provide FINRA with duplicate...

  5 days ago from Jofdav

• Corporate Counsel - Broker Dealer - Investment Advisor

  Leading Provider of Insurance and Other Financial Services

   - Charlotte, NC

  the limited supervision of a senior attorney in another location. • Strong academic ... timely, and pragmaticcounsel without supervision • Work with and/or guide outside...

  6 days ago from IvyExec

• BrokeAndBroker
• Bill Singer