Finra Attorney Jobs in San Francisco

Regulatory Counsel The candidate will Provide legal and regulatory advice on our products to members of the Counsel team and business partners on the Securities Act, Exchange Act, Investment Advisers Act, ..

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 ..

Finance Associate Attorney - Finance Projects (Mid-Level to Senior) San Francisco The ideal candidates will have 3 to 7 years of law firm experience representing banks, non-banks, lenders, agents, borrowers, private ..

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 ..

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 ..

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. ..

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 ..

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 ..

Principal Intelligence Specialist, Member Supervision Duties: Leads projects to resolve problem statements to address strategic and tactical targets. Leads projects to analyze data and information of all levels of risk and ..

Trusts & Estates Attorney - A well-established trusts & estates boutique with a longstanding presence in California is hiring for an experienced trusts & estates attorney. Required Qualifications: 2 years of ..

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 ..

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. ..

Principal Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Reports to a Risk Monitoring Director and supports both ..

Private Funds Attorney The candidate will provide advice on the formation, structuring and marketing/distribution of open-end and closed-end funds and special purpose vehicles across various jurisdictions. Prepare, review and negotiate fund ..

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 ..

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 ..

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 Corporate Actions Analyst, Transparency Services Duties: Performs investigative research and analysis on corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for ..

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 ..

PWM Senior Counsel Responsibilities: Providing real-time legal advice and recommendations to First Republic Securities Company’s compliance and business partners (both client-facing and corporate staff). Reviewing and negotiating legal contracts, including client ..

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 ..

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 ..

Principal Analyst, Risk Monitoring Duties: The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing ..