Finra Attorney Jobs in Fort Lauderdale

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 ..

Associate Attorney The candidate will be responsible for: Efficient management of multiple cases. Timely preparation of pleadings, motions and discovery to opposing parties. Participate in mediations, hearings and depositions as required. ..

Fort Lauderdale McGlinchey Stafford is a premier business law firm with fifteen offices across ten states and Washington, D.C. Our lawyers offer services in more than 40 practice areas through a ..

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 ..

Senior Corporate Actions Analyst, Transparency Services Duties: Performs investigative research and analysis on corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for ..

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 ..

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 ..

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 ..

Job OverviewA law firm seeks a Financial Institutions Litigation Associate Attorney to join its Financial Institutions Practice Group in South Florida. The role involves representing financial institutions in various securities and ..

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 Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise ..

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. ..

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 ..

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 ..

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 ..

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 ..

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. ..

Principal Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Reports to a Risk Monitoring Director and supports both ..

Securities (FINRA) Associate The candidate should have at least 2 years of experience handling all aspects of FINRA arbitration disputes on behalf of broker-dealers and their registered representatives. Should have strong ..

Private Funds Attorney The candidate will provide advice on the formation, structuring and marketing/distribution of open-end and closed-end funds and special purpose vehicles across various jurisdictions. Prepare, review and negotiate fund ..

Principal Analyst, Risk Monitoring Duties: The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing ..

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 ..