Finra Paralegal Jobs

Senior Executive Assistant, Office of Chief Economist Duties: Sophisticated calendar management for Chief Economist that requires prioritizing meetings and requests. Significant scheduling between Board members, internal executive staff, staff, and external ..

Compliance & Legal Analyst Review of Fund and Adviser advertising for compliance with the Securities Act of 1933, the 1940 Act, and the Advisers Act, and SEC rules thereunder, and Financial ..

Senior Office Manager, Human Resources The candidate reporting to the Chief Human Resources Officer, responsible for performing administrative and operational support services for the office. This includes handling confidential information ..

OGC Appellate Paralegal Duties: Provides paralegal support for the adjudicatory processes of the National Adjudicatory Council (NAC), to include preparing and maintaining records and hearing kits, drafting correspondence, summarizing transcripts, and ..

Regulatory & Compliance Analyst The candidate will assist with regulatory audits by FINRA, SEC, and state insurance and securities regulators. Investigate complex issues, including but not limited to internal investigations, customer ..

5/25/2021 The Finance Paralegal works at the direction of the Senior Corporate Paralegal to assist attorneys in the Legal Department and other Bank personnel on a wide range of legal matters, ..

Paralegal (Legal Editor) Duties: Manages docket of assigned cases, including maintenance of the official records of those proceedings and the Office of Hearing Officer’s electronic docket. Receives, compiles, and organizes information ..

... and appropriately cited. Updates the FINRA Rule Filing Template as needed ... federal securities laws and regulations, FINRA rules and other relevant market ... comments, displaying advanced understanding of..

Paralegal The candidate will work for securities, finance and business law firm. Manage multiple calendars and calendar court deadlines with calendaring software. Document review, Bates labeling, and production. Computerized legal research; ..

5/25/2021 The Finance Paralegal works at the direction of the Senior Corporate Paralegal to assist attorneys in the Legal Department and other Bank personnel on a wide range of legal matters, ..

Very busy family law firm is seeking a paralegal/legal assistant.  A successful applicant is one who is detailed oriented, organized, friendly, self-motivated, and a good time manager.  Experience in the field ..

Legal Assistant The candidate will be responsible for coordinating, supporting, and monitoring all the important functions and processes of the attorneys’ she/he attends; such as the analysis, review of legal documents ..

Regulatory Analyst Responsibilities: Provide support for Investment Products and Securities Regulation Team attorneys and work with other Regulatory Analysts as assigned. Prepare securities filings for variable life and variable annuity products. ..