Finra Attorney Jobs in San Francisco

Corporate Associate The candidate must be admitted to the California Bar or be willing to sit for it. Should have 4-6 years of investment management experience. Should have experience in forming ..

Corporate Associate The candidate must have 4-6 years of investment management experience. Should have experience in forming and drafting documents for a variety of private funds, including hedge funds, private equity ..

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 ..

Apply San Francisco, CA Winston & Strawn’s project finance group is looking for an associate to join the San Francisco office. Candidates should have at least three years of project finance ..

Regulatory Compliance Senior Associate The candidate will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for clients in the alternative and traditional investment sector, ..

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 ..

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, ..

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, 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 ..

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 ..

Manager Compliance, Personal Securities Trading The candidate reports to the Director, Personal Securities Trading Operations, and will help lead personal trading efforts within the Compliance Department. Will be expected to handle ..