Finra Attorney Jobs

Counsel, Capital Markets The candidate will be responsible for: Advise the Board of Governors and company advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board. ..

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 ..

Assistant General Counsel, Compliance The candidate will be responsible for: Provide crucial thought-leadership and action in the creation and implementation of company’s Compliance Program, to include development of various aspects of ..

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 ..

Assistant General Counsel, Regulatory Duties: With limited oversight, advise the Board of Governors and FINRA advisory committees with respect to complex and sensitive regulatory initiatives and rule changes under consideration by ..

... the creation and implementation of FINRA’s Compliance Program, to include development ... and SROs generally. Actively guide FINRA’s operational departments in responding to ... Enterprise Risk Management, and with..

Interactive Brokers is looking for a motivated and talented litigation attorney with experience in securities and commodities issues in the broker-dealer and futures commission merchant space, who is interested in joining ..

Senior Attorney, Compliance The candidate under the general direction of ECO management, assist in the creation, planning, prioritization, and implementation of strategies for building company’s overall Compliance Program, to include development ..