Finra Attorney Jobs in Massachusetts

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 ..

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 ..

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 ..

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 ..

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. ..

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. ..

Managing Director & Managing Counsel – SSGA Legal Department - U.S. SPDR Exchange Traded Funds & SSGA U.S. Mutual Funds The candidate will be responsible for providing practical and actionable legal ..

We are seeking an associate with 3 years of experience in the organization of business entities and business transactions. A candidate must possess excellent communication skills, a good sense of humor ..

The Wealth Management Group is seeking an experienced Wealth Management Staff Attorney with a minimum of four years of experience focusing on sophisticated estate planning and gift and estate tax analysis. ..

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 independently conducts advanced high complexity routine and special investigations of member firms; investigates potentially suspicious activities of persons associated with member firms; and provides ..

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 ..

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 ..

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 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 ..

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 ..

A law firm in Boston, MA, is seeking a Senior Corporate Securities Associate Attorney or Counsel with extensive experience in securities law and corporate governance. The ideal candidate will have a ..

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 ..

The Wealth Management Group is seeking an experienced Wealth Management Staff Attorney with a minimum of four years of experience focusing on sophisticated estate planning and gift and estate tax analysis. ..

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 ..

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 ..

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 ..