Finra Attorney Jobs in Englewood

Director, Member Supervision Project Management Duties: Serve as lead for an assigned program and provide a holistic view of all projects and operational changes to ensure proper service/deliverables are provided. Manage ..

Associates at Godfrey | Johnson, P.C. work on a wide variety of litigation matters. Most of our matters are civil actions that are pending in state and federal courts, in Colorado ..

Associates at Godfrey | Johnson, P.C. work on a wide variety of litigation matters. Most of our matters are civil actions that are pending in state and federal courts, in Colorado ..

Associates at Godfrey | Johnson, P.C. work on a wide variety of litigation matters. Most of our matters are civil actions that are pending in state and federal courts, in Colorado ..

Senior Principal Investigator, Specialist Team The candidate conducts advanced high complexity routine and special investigations of member firms. Investigates potentially suspicious activities of persons associated with member firms. Provides guidance to ..

Assistant General Counsel, Commercial The candidate works efficiently and collaboratively with in-house business and technology personnel, primarily through the negotiation of transactions and contracts, but also when providing counsel on complex ..

Principal Intelligence Specialist, Member Supervision Duties: Leads projects to resolve problem statements to address strategic and tactical targets. Leads projects to analyze data and information of all levels of risk and ..

Associate Principal Investigator, VAST Duties: Independently leads investigations of low to medium complexity matters under moderate supervision. Participates in investigations of medium to high and high complexity matters under moderate supervision. ..

Senior Principal Investigator, Specialist Team The candidate independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; and provides ..

Counsel, Enforcement The candidate will execute an effective risk-based legal strategy to assess the record fairly. Collaborate with investigative staff to plan investigations and fully develop the record. Research and identify ..

Senior Counsel The candidate will provide expert legal and policy advice to Enforcement management and staff in support of Enforcement Department objectives to foster transparency and predictability in the Department's regulatory ..

Principal Analyst, Risk Monitoring, Diversified and Clearing Firms The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports the direct manager in ..

Exciting corporate associate opportunity at one of Denver 's finest firms . The ideal candidate is a junior to midlevel (2-5 years experience) corporate associate from a law firm environment. Experience ..

Litigation Director (Non-Disciplinary) - Enforcement The candidate will manage a team of dedicated litigation attorneys and other staff, and, as necessary, litigates non-disciplinary and disciplinary proceedings as first or second chair. ..

Assistant General Counsel, Regulatory The candidate will render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject ..

Principal Investigator, National Cause Program The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the ..

Associates at Godfrey | Johnson, P.C. work on a wide variety of litigation matters. Most of our matters are civil actions that are pending in state and federal courts, in Colorado ..

Associate Principal Analyst, Risk Monitoring The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Conduct risk monitoring for member firms that ..

... seeking an experienced Securities Litigation Attorney to join its dynamic team. ... shareholder litigation across multiple jurisdictions.Handle FINRA customer arbitration claims involving suitability ... and other sales practice violations.Manage..

Why work for us? Janus Henderson is a leading global active asset manager. We exist to help our clients achieve their long-term financial goals. Our team exemplifies our values of putting ..

Posted: Oct. 3, 2022 | Application Deadline: Open Until Filled, resume reviews start Oct. 25, 2022 Title Counsel I or Analyst I Senate Counsel, Research, and Fiscal Analysis Minnesota Senate St ..

Principal Investigator, Sales Practice The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course ..

Associates at Godfrey | Johnson, P.C. work on a wide variety of litigation matters. Most of our matters are civil actions that are pending in state and federal courts, in Colorado ..