Finra Attorney Jobs in Phoenix

Senior Counsel, Regulatory Attorney Responsibilities: 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 responses to ..

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 ..

5/25/2021 The Finance Paralegal works at the direction of the Senior Corporate Paralegal to assist attorneys in the Legal Department and other Bank personnel on a wide range of legal matters, ..

5/25/2021 The Finance Paralegal works at the direction of the Senior Corporate Paralegal to assist attorneys in the Legal Department and other Bank personnel on a wide range of legal matters, ..