Finra Attorney Jobs in New York City

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 ..

Associate Principal Analyst, International Affairs Duties: Conduct research and analysis of international developments covering a wide range of financial regulatory topics and jurisdictions with minimal supervision to inform senior management and ..

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 ..

Case Administrator, Dispute Resolution Duties: Manages assigned docket of cases, with responsibility to ensure that all case activities proceed timely and accurately. Utilizes the ODR Portal and internal docket management programs. ..

Job Overview: A well-established, full-service law firm based in New York is seeking a Senior Corporate & Securities Attorney to join its Corporate Practice Group. This role is ideal for a ..

Investment Management Coverage Attorney- Vice President The candidate will primarily provide legal coverage for private funds business, interacting with senior management and a global team of approximately 25 legal professionals supporting ..

Senior Counsel, Custody The candidate will be responsible for: Integrate into the day-to-day operations of company Custody, providing legal, business and strategic advice. Develop scaled strategies for addressing risk in business-centric ..

Jersey City office of a BCG Attorney Search Top Ranked Law Firm seeks a commercial litigation associate attorney with 5-7 years of experience. The candidate must have experience in the following ..

Job OverviewA distinguished law firm is seeking a senior-level associate or counsel to join its Securities Enforcement Defense team. The ideal candidate will have extensive experience handling securities enforcement matters, including ..

Vice President, Corporate Counsel, Retail Advice And Solutions The candidate will be responsible for: Providing thought leadership and support as a key member of the distribution legal team. Address full range ..

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 ..

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 ..

Job OverviewA law firm seeks a Capital Markets Senior Associate/Counsel in New York, New York. This role involves advising emerging-growth and public companies, investment banks, SPACs, and alternative capital providers. The ..

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, 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 ..

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 ..

Senior Counsel, Regulatory Attorney The candidate will report directly to the Associate General Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and dual registrants. ..

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 ..

Job Title: Securities Enforcement Defense AttorneyJob Overview: A prominent law firm in New York City, NY is seeking an experienced Securities Enforcement Defense Attorney. This role offers the opportunity to work ..

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 ..

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 ..

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 ..