Finra Attorney Jobs in Maryland

Counsel - Enforcement The candidate will be responsible for: Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy; Execute an effective risk-based legal strategy to assess the record fairly; ..

Director, Enforcement Duties: Provide oversight, direction and active management to Enforcement attorneys to achieve timely and foreseeable high-quality Enforcement outcomes. This includes working closely with attorneys to assess how the record ..

Principal Counsel, Ethics The candidate will create, interpret, advise on, monitor and maintain various conflicts-of-interest programs at organization, at all times acting in an independent and confidential manner. Will independently counsel ..

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 ..

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 ..

Counsel, Data Privacy & Protection Duties: Working closely with the Senior Director & Counsel, Data Privacy & Protection, provides legal advice on sophisticated and high-level initiatives throughout the organization. Provides increasingly ..

Chief Counsel, Market Regulation Enforcement The candidate will be responsible for managing Enforcement outcomes and implementing priorities for the Enforcement department, ensuring maximum productivity and effectiveness with a large and complex ..

Counsel, Enforcement The candidate will be responsible for: Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly; Recommend ..

Director, Compliance Program Office The candidate will be responsible for developing and maintaining comprehensive rules to controls identification and assessment framework (controls framework) for Member Supervision in coordination with the Office ..

Principal Analyst - Risk Monitoring - Retail - FinTech and Retail with Carrying and Clearing The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a ..

Analyst, Corporate Finance The candidate reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. Conducts investigations of cases which have been identified as potential ..

Investigator, PIPES Duties: Analyze trading activity for indications of potential insider trading or fraudulent activity related to private placement transactions (PIPEs) and equity crowdfunding offerings. Conduct routine reviews and investigations of ..

Wealth Management Compliance Policies And Training Officer The candidate will be responsible for: Analyzing new and updated federal and state laws, regulations, guidance and enforcement actions and determining relevance to the ..

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 ..

Investigator, Insider Trading Duties: Analyze trading activity for indications of potential insider trading. Conduct routine reviews and investigations of possible violations of rules and the federal securities laws. Conduct telephone interviews, ..

Principal Counsel, Enforcement Duties: Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters. Determine and execute an effective ..

Enforcement Counsel Duties: Handle allegations of market manipulation, partnering with the team’s investigators to prepare for on-the-record testimony. Drafting settlement documents, negotiating with a firm’s counsel over potential rule violations or ..