Finra Attorney Jobs in Washington

Counsel - Enforcement The candidate will be responsible for: Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy; Execute an effective risk-based legal strategy to assess the record fairly; ..

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 ..

Analyst, Corporate Finance The candidate reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. Conducts investigations of cases which have been identified as potential ..

Senior Counsel, Litigation & Investigations Duties: End-to-end management of a variety of contested matters, including complex commercial litigation, regulatory and internal investigations and FINRA arbitration matters. Coordinating discovery, including document collection ..

Associate General Counsel – Enforcement Responsibilities: Handling regulatory inquiries from the SEC, FINRA, CFTC, NFA and other regulatory authorities. Working with outside counsel in managing larger enforcement matters brought by the ..

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 ..

Principal Counsel, Enforcement Duties: Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters. Determine and execute an effective ..

Associate General Counsel, Regulatory The candidate will be assisting the firm’s Chief Regulatory Counsel in handling various regulatory matters, including evaluating the legal and regulatory impact of new proposed business lines ..

Enforcement Counsel Duties: Handle allegations of market manipulation, partnering with the team’s investigators to prepare for on-the-record testimony. Drafting settlement documents, negotiating with a firm’s counsel over potential rule violations or ..

Counsel, Data Privacy & Protection Duties: Working closely with the Senior Director & Counsel, Data Privacy & Protection, provides legal advice on sophisticated and high-level initiatives throughout the organization. Provides increasingly ..

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 ..

Enforcement Counsel Duties: Handle allegations of market manipulation, partnering with the team’s investigators to prepare for on-the-record testimony. Drafting settlement documents, negotiating with a firm’s counsel over potential rule violations or ..

Counsel, Enforcement The candidate will be responsible for: Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Execute an effective risk-based legal strategy to assess the record fairly; Recommend ..

... 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..

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 ..

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 ..

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 ..

Associate General Counsel - Enforcement The candidate will be assisting the firm’s Chief Counsel on Investigations & Enforcement in handling various regulatory and enforcement-related matters, including handling regulatory inquiries from the ..

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 ..

Senior Counsel, Litigation & Arbitration Duties: End-to-end management of FINRA arbitration and mediation matters and related customer matters. Collaborating with cross-functional teams. Overseeing and managing outside counsel, as needed...

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 ..

Chief Counsel, Market Regulation Enforcement The candidate will be responsible for managing Enforcement outcomes and implementing priorities for the Enforcement department, ensuring maximum productivity and effectiveness with a large and complex ..