Finra Attorney Jobs in North Carolina

Manager Compliance, Personal Securities Trading The candidate will lead, coach and develop onshore and offshore teams. Support department audits and exams. Oversee all day-to-day operations which consist of reviewing compliance reports, ..

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 ..

Wilmington Young Conaway Stargatt & Taylor, LLP seeks attorneys with approximately one to five years of transferable experience to join our nationally recognized Bankruptcy and Restructuring Practice Group. Associates will work ..

VP, Complex Product Supervision The candidate will be driving, cultivating, and institutionalizing a sustained and focused effort to enhance risk controls, identifying appropriate service level agreements, and addressing performance via NPS, ..

Associate Counsel / Counsel The candidate will prepare/assist in the preparation of materials for board meetings for multiple clients, including drafting/reviewing meeting materials, meeting minutes, and other documentation. Prepare/Assist in the ..

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, ..

Head of Derivative and Collateral Operations The candidate will provide leadership to their related teams to improve processes, implement controls, manage budgets, and roll out new trade support needs. Implement operational ..

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, ..

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 ..

Head of Derivative and Collateral Operations The candidate will provide leadership to their related teams to improve processes, implement controls, manage budgets, and roll out new trade support needs. Implement operational ..

FINANCIAL SERVICES LITIGATION ASSOCIATE – Charlotte, NC The Financial Services Practice Group is seeking to add a litigation associate with 2-4 years private practice experience. Experience representing creditors and/or loan servicers ..

Financial Advisor The candidate will analyze financial information obtained from clients to determine strategies, products, and services to help clients meet their financial objectives to create a personalized Financial Plan. Provide ..

FINANCIAL SERVICES LITIGATION ASSOCIATE – Charlotte, NC The Financial Services Practice Group is seeking to add a litigation associate with 2-4 years private practice experience. Experience representing creditors and/or loan servicers ..

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 ..