Finra Attorney Jobs in Fort Mill

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

SVP, Deputy CCO Responsibilities: Lead the team responsible for regulatory exams and inquiries and other regulatory affairs; as well as responsible for performing regulatory event (both internal and external) tracking and ..

SVP, Deputy CCO Responsibilities: Lead the team responsible for regulatory exams and inquiries and other regulatory affairs; as well as responsible for performing regulatory event (both internal and external) tracking and ..

FINANCIAL SERVICES LITIGATION ASSOCIATE – Charlotte, NC The Financial Services Practice Group is seeking to add a litigation associate with 2-4 years private practice experience. Experience representing creditors and/or loan servicers ..

Website and Mobile App Accessibility and Compliance Director Duties: Manages, trains, and grows an onshore and offshore team. Acts as the subject matter expert for clients to meet their Cookie, Pixel, ..

VP, Complex Product Supervision The candidate will be driving, cultivating, and institutionalizing a sustained and focused effort to enhance risk controls, identifying appropriate service level agreements, and addressing performance via NPS, ..

VP, Associate Counsel Duties: Legal analysis of the application of federal and state laws and regulations as applied to the company’s technology initiatives. Drafting and negotiating provisions for a wide variety ..

Head of Financial Risk Management The candidate will drive the approach and all financial risk management activities of the firm. Develop, operationalize, and maintain robust enhancements to market, credit, and liquidity ..

Head of Derivative and Collateral Operations The candidate will provide leadership to their related teams to improve processes, implement controls, manage budgets, and roll out new trade support needs. Implement operational ..

FINANCIAL SERVICES LITIGATION ASSOCIATE – Charlotte, NC The Financial Services Practice Group is seeking to add a litigation associate with 2-4 years private practice experience. Experience representing creditors and/or loan servicers ..