Finra Attorney Jobs in Georgia

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 - RIA Compliance The candidate should have 5-7 years of experience in the financial services industry serving broker-dealers and registered investment advisers: Providing compliance support and advice to BDs ..

Senior Counsel, Regulatory Attorney The candidate will advise on securities laws, most particularly relating to broker-dealers. Will have familiarity with Reg BI and FINRA Rules and their applications to broker-dealers. Draft ..

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 ..

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 ..

In-House Counsel and Compliance Associate The candidate will be responding to legal inquiries for a rapidly growing registered investment advisory firm. Assist CCO in reviewing and negotiating a wide range of ..

Securities Compliance Attorney/Officer The candidate will interpret new and existing securities laws and regulations and provide guidance to various business units and assist them in updating policies and procedures. Analyze existing ..

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 ..

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 ..

Associate Counsel - Wealth Solutions The candidate will be partner with the division’s Distribution, Product and Operations teams to draft, negotiate, and manage both routine and moderately complex transactions, including RFP ..

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 ..

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 The candidate will provide counsel regarding the firm's distribution of mutual funds, annuities, IRAs, and employer-sponsored retirement plans. Assist with oversight and expansion of the firm's advisory services ..

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 ..

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 ..

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 ..

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 ..

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 ..

Counsel, Retail Wealth Management Duties: Provides direction on complex assignments, projects, and/or initiatives to build and enhance the capability of his/her assigned area(s) of responsibility. Directs and enhances organizational initiatives by ..

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. ..

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 ..

Job Title: Associate AttorneyJob Overview: A well-established law firm based in Atlanta, GA, seeks an experienced attorney to provide legal and compliance advisory services to clients in the financial services sector, ..