Finra Attorney Jobs in Minnesota

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

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 ..

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, ..

Mid-Level Associates to Counsel-Level (Securities) Ideal candidates will have in-depth experience (4-6 years) in the following areas: Public company rules and regulations (Securities Act of 1933, the Securities Exchange Act of ..

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 ..

Best Buy Attention Marketing Procurement Professionals and Attorneys! Join the Procurement team to support the exciting world of Marketing! The Senior Category Specialist / Procurement for Marketing is responsible for the ..

Best Buy Attention Marketing Procurement Professionals and Attorneys! Join the Procurement team to support the exciting world of Marketing! The Senior Category Specialist / Procurement for Marketing is responsible for the ..

VP of Legal and Compliance The candidate will serve as the internal lead for all regulatory and legal matters. The ideal candidate has a background in corporate or regulatory law and ..

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 ..

Director Compliance The candidate will design and implement an effective, risk-based broker-dealer testing program for Pruco, PIMS and PAD to assist in detecting and preventing violations of, and achieving compliance with, ..

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 ..