Finra Attorney Jobs in Massachusetts

Principal Analyst, Risk Monitoring The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Will support both that direct manager in identifying ..

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 ..

Counsel, Enforcement The candidate will resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Will execute an effective risk-based legal strategy to assess the record fairly. Recommend a fair ..

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 ..

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 ..

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 ..

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 ..

VP, Associate Counsel The candidate duties will include: Legal analysis of the application of federal and state laws and regulations as applied to the company’s technology initiatives. Drafting and negotiating provisions ..

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 ..

A law firm seeks a seasoned finance attorney to join its dynamic Boston team. This role sits at the nexus of private credit, fund finance, and collateralized loan obligations (CLOs), offering ..