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 ..

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 ..

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 ..

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 ..

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 ..

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 ..

Washington McGlinchey Stafford seeks to hire an associate attorney with 3 - 5 years of experience to join our national Consumer Financial Services Compliance practice in Washington, D.C. This practice group ..

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 ..

Washington McGlinchey Stafford seeks to hire an associate attorney with 0-3 years of legal experience to join our national Consumer Financial Services Compliance practice in Washington, D.C. While experience in financial ..

Job Overview: A prominent national law firm is seeking an experienced Corporate Securities Attorney to join its Corporate Practice Group. This position is open to attorneys with 5 to 12 years ..

A law firm in Washington, DC, is seeking a Senior Corporate Securities Associate Attorney or Counsel to join their team. The ideal candidate will have extensive experience in securities law and ..

Washington McGlinchey Stafford seeks to hire an associate attorney with 0-3 years of legal experience to join our national Consumer Financial Services Compliance practice in Washington, D.C. While experience in financial ..

Job OverviewA law firm seeks a Securities Enforcement Associate for its Washington, DC office. This role involves working within a nationally recognized practice group, focusing on securities enforcement defense and regulatory ..

Principal Counsel Duties: Advise the Board of Governors and the Organization’s advisory committees with respect to regulatory initiatives and rule changes under consideration by the Board. Assist in briefing and providing ..

Washington McGlinchey Stafford is a premier business law firm with seventeen offices across twelve states and Washington, D.C. Our lawyers offer services in more than 40 practice areas through a highly ..

... 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..

Washington McGlinchey Stafford is a premier business law firm with seventeen offices across twelve states and Washington, D.C. Our lawyers offer services in more than 40 practice areas through a highly ..

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 ..

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 ..

Associate General Counsel Duties: Advise the Board of Governors and advisory committees with respect to high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes under consideration by the ..

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 ..