EMPLOYMENT TUESDAY at BrokeAndBroker.com

December 23, 2014

Stockbroker, Compliance, Legal, and Regulatory Jobs

NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: stockbrokers, advisors, lawyers, regulators, compliance officers, and 
back-office staff.
  

Click POST A JOB and your position will be promptly listed.  
Only $50 for 30 days! 

Joe Cocker died on December 22nd at the age of 70 after a struggle with lung cancer. Cocker didn't so much have a voice as a slow-motion blender/chopper/grinder. It was hard to watch him, at first, and not convulse with laughter at his herky-jerky movements and tortured grimaces as he seemed to try and force his vocals from parts and depths unknown. Over time, however, his was one of the unique,signature voices of an era. It is impossible to think of that magical moment of "Woodstock" without hearing Cocker's rendition of the Beatles' "With A Little Help From My Friends." Rest in peace.




SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    Investors Bancorp

     - Wantagh, NY

    Provide sound financial advice to customers by evaluating their financial condition, needs and future goals. Must keep abreast of procedures and maintains a current knowledge of...

    4 hours ago from Long Island Jobs
     
  • Financial Advisor 

    NEW

    Financial Planning Services

     - Boise, ID

    Job Description: DESCRIPTION Do not miss this opportunity! If you are considering entering the financial services industry, LET`S TALK! Our firm has what you are looking for! This...

    4 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    AXA Advisors

     - Omaha, NE

    Company Description AXA Advisors LLC is a leading provider of financial services for consumers and businesses working with clients to help them define and pursue their financial...

    8 hours ago from Geebo
     
  • Financial Advisor 

    NEW

    Northern Financial Services

     - Watertown, NY

    Company Description: A progressive, fast-paced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment services...

    10 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    BB&T

     - Naples, FL

    Auto req ID 30804BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Naples, FL - 5551 Ridgewood Drive Language Fluency English Full-Time/Part-Time...

    1 day ago from BB&T
     
  • Financial Advisor 

    NEW

    BMO

     - Westchester, IL

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...

    1 day ago from Professional Diversity Network
     
  • Financial Advisor 

    NEW

    BMO Harris Bank

     - Westchester, IL

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...

    1 day ago from BMO Harris Bank
     
  • Financial Advisor 

    NEW

    Modern Woodmen of America

     - Elizabethtown, KY

    Company Description: Modern Woodmen of America is a member-owned fraternal financial services organization. We secure futures with financial guidance and products. We touch lives...

    2 days ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    New York Life Insurance

     - San Mateo, CA

    Company Description: New York Life Insurance Company ("New York Life") is the largest mutual life insurance company in the United States*. Founded in 1845, New York Life is...

    2 days ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    American International Group

     - Cedar Rapids, IA

    Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.

    2 days ago from American International Group
     
  • Financial Advisor 

    NEW

    Poppell Financial Group

     - Orlando, FL

    Company Description: We are a regional financial services firm serving the panhandle and central Florida. While many financial products offered by firms are similar, our customer...

    2 days ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    BMO Financial Group - Finance Industry

     - Kokomo, IN

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...

    2 days ago from VelvetJobs
     
  • Financial Advisor 

    NEW

    BMO Financial Group

     - Westchester, IL

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...

    3 days ago from BMO Financial Group
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Lancaster, PA

    Company Description: Thrivent Financial is a financial services organization that helps Christians be wise with money and live generously. We offer a broad range of products and...

    3 days ago from ZipRecruiter
     
  • Financial Advisor

    AIG Financial Advisors

     - Bellingham, WA

    Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.

    4 days ago from BrokerHunter.com
     
  • Financial Advisor

    Seacoastbank

     - Orlando, FL

    Company Description: Headquartered in Martin County, FL, Seacoast Bank, a $3.0 billion Institution, is unrivaled among community banks and state wide regional banks alike!...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    Ally

     - Norwich, CT

    Requirements: 2+ to 5 years of experience Bachelor's Degree Series 7 license Either 66 or 63/65 licenses Life/Health license We are seeking an uncommon professional to join our...

    4 days ago from Ally
     
  • Financial Advisor

    Hoopis Financial Group

     - Chicago, IL

    Job Description: Not all financial services companies are the same. Product offerings, producer support, ongoing training and marketing vary widely. With Hoopis Financial Group of...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    Hazelwood, MO

    Company Description: Equal Employment Opportunity employer. It is our policy to provide equal opportunity to all employees and applicants and to prohibit any discrimination...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    American International Group

     - Bellingham, WA

    Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.

    4 days ago from American International Group
     
  • Financial Advisor

    DMG Financial

     - Denver, CO

    Company Description: Our fast-growing organization of experienced financial professionals continues to grow from coast to coast. If you are an experienced financial professional...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    AIG Financial Advisors

     - Phoenix, AZ

    Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.

    5 days ago from BrokerHunter.com
     
  • Financial Advisor

    BB&T Bank

     - Atlanta, GA

    Essential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...

    5 days ago from IHispano
     
  • Financial Advisor

    Rz Partners

     - Boston, MA

    Job Description: The role of the Financial Consultant is to establish value-added relationships with customers, to understand their financial needs and to offer solutions for...

    6 days ago from EasternMass
  • New York Life Insurance Co

     - Sleepy Hollow, NY

    New York Life Insurance Company ("New York Life") is the largest mutual life insurance company in the United States*. Founded in 1845, New York Life is headquartered in New York...

    40 minutes ago from New York Life Insurance Co
     
  • Manager,Broker Dealer Operations & Financial Responsibility, Member Regulation, ROOR 

    NEW

    Independent Securities Regulator

     - New York City, NY

    Serve as subject matter expert, and provide technical guidance and education on accounting related topics, respond to interpretative questions, regulatory matters and issues...

    1 hour ago from IvyExec
     
  • Regional Marketing Director 

    NEW

    Insurance and Investment Management Holding Company

     - San Francisco, CA

    Description The Role As the Regional Marketing Director - Channel Insurance Sales, you will be responsible for the overall success and growth of Life Insurance within the Lincoln...

    1 hour ago from IvyExec
     
  • Investment Banking and Research Compliance Analyst (00885129) 

    NEW

    Michael Page International - US

     - New York City, NY

    Investment Banking and Research Compliance Analyst * Salary: USD75000.00 - USD110000.00 per year + Bonus + Benefits * Location: Manhattan, NY, USA * Job Type: Permanent, Full time...

    2 hours ago from eFinancialCareers Ltd
     
  • Senior Sales Executive 

    NEW

    Citizens Financial Group

     - Dedham, MA

    Responsibilities This person will be responsible for working with Financial Consultants, Trust Relationship Managers, and Premier Bankers within a given region to conduct joint...

    4 hours ago from Citizens Financial Group, Inc.
     
  • Financial Advisor 

    NEW

    Investors Bancorp

     - Wantagh, NY

    Provide sound financial advice to customers by evaluating their financial condition, needs and future goals. Must keep abreast of procedures and maintains a current knowledge of...

    4 hours ago from Long Island Jobs
     
  • Compliance Associate - jr. de 

    NEW

    Perfect Fit Placement

     - New York City, NY

    Company DescriptionCompany is an Equal Employment Opportunity Employer - M/F/D/VJob Description Compliance Associate (jr) Manhattan, NYC Great salary and Benefits ~~Fast-growing...

    4 hours ago from NY City Works
     
  • Financial Advisor 

    NEW

    Financial Planning Services

     - Boise, ID

    Job Description: DESCRIPTION Do not miss this opportunity! If you are considering entering the financial services industry, LET`S TALK! Our firm has what you are looking for! This...

    4 hours ago from ZipRecruiter
     
  • Securities Operations Representative - Fixed Term w/Benefits 

    NEW

    National Life Group

     - Montpelier, VT

    Company Description: Our promise is our product. Our mission is to keep our promises. Delivering on those promises is a talented and dedicated pool of people. View our open jobs...

    4 hours ago from ZipRecruiter
     
  • Financial Advisor Trainee Position 

    NEW

    Laidlaw & Company (uk)

     - New York City, NY

    Company Description: -170 year legacy of independent investment banking and securities brokerage focused on the needs of domestic and international companies, corporate...

    4 hours ago from NY City Works
     
  • Fixed Income and Commodities - Risk Control Group Surveillance Associate 

    NEW

    Morgan Stanley

     - New York City, NY

    The Risk Control Group (RCG) works within the Firm's Sales & Trading Division and is responsible for the overall program of supervision in Fixed Income, Commodities and Bank...

    4 hours ago from NY City Works
     
  • Investment Specialist - HNW Closely Held Businesss Group 

    NEW
  • JPMorgan Chase &

     - New York City, NY

    J.P. Morgan Global Wealth Management Investor Position Summary: The Investor combines the technical skills of portfolio managers with the communication and selling skills of...

    4 hours ago from NY City Works
     
  • Internal Wholesaler-Product Desk 

    NEW
  • Citizens Financial Group

     - Dedham, MA

    Responsibilities The CCO Internal Wholesaler is responsible for partnering with Financial Consultants and Sales Managers, creating new and managing existing relationships with...

    4 hours ago from EasternMass
     
  • Financial Adviser / Registered Representative / Agent 

    NEW

    New York Life

     - Boston, MA

    Company DescriptionNew York Life is among the strongest and most respected financial companies in America today. New York Life has earned the highest possible financial strength...

    4 hours ago from EasternMass
     
  • Business Supervision Officer/Supervisory Delegate 

    NEW

    Bank of America

     - New York City, NY

    Candidate will need to have a sound understanding of trading businesses and how trading desks function, ideal candidate should have some experience in the Front Office/Middle...

    4 hours ago from NY City Works
     
  • Senior Audit and Compliance Testing Officer 

    NEW

    Network Esc (a Division of Network Temps, Inc.)

     - New York City, NY

    Company DescriptionTop US Executive Search and Recruiting Firm Specializing in: Accounting, Audit, & Taxation Banking & Financial Services Information Technology...

    4 hours ago from NY City Works
     
  • Sr Client Services Rep - Finance and Investment Industry Opportunity 

    NEW

    Bank of America - Finance and Investment Industry

     - New York City, NY

    Asset Management Services Hedge Fund Account Manager Platform oversight and delivery Ensure the efficient daily interface with all PB clients Act as single day-to-day point of...

    4 hours ago from NY City Works
     
  • CCO Investment Advisers & Investment Services 

    NEW

    Human Resources Focused Consulting Firm

     - New York City, NY

    Our client a well regarded, global wealth management and advisory firm seeks a CCO to oversee their Investment Advisers Investment Services division. Specific responsibilities...

    4 hours ago from NY City Works
     
  • Seeking individuals for Wealth Management Training Program 

    NEW

    Laidlaw & Company (uk)

     - New York City, NY

    Company Description-170 year legacy of independent investment banking and securities brokerage focused on the needs of domestic and international companies, corporate...

    4 hours ago from NY City Works
     
  • Financial Sales Management 

    NEW

    AXA Advisors

     - Brooklyn, NY

    Company DescriptionAbout AXA AXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them As a member of the...

    4 hours ago from NY City Works
     
  • Operational Risk Manager- Corporate Equity Solutions 

    NEW
  • Leading Global Financial Services Firm

     - New York City, NY

    Primary ResponsibilitiesMaintain Policies and Procedures: work with CES Managers to ensure department policies and procedures are created, updated as necessary and maintained in a...

    4 hours ago from NY City Works
     
  • Lincoln Financial Group

     - New York City, NY

    About The Company Lincoln Financial Group is a Fortune 500 company offering a diverse range of financial services and solutions. With a strong focus on four core business areas -...

    4 hours ago from NY City Works
     
  • Internal Wholesaler-Product Desk 

    NEW
  • Citizens Financial Group

     - Dedham, MA

    Responsibilities The CCO Internal Wholesaler is responsible for partnering with Financial Consultants and Sales Managers, creating new and managing existing relationships with...

    4 hours ago from EasternMass
     
  • Financial Adviser / Registered Representative / Agent 

    NEW

    New York Life

     - Boston, MA

    Company DescriptionNew York Life is among the strongest and most respected financial companies in America today. New York Life has earned the highest possible financial strength...

    4 hours ago from EasternMass
     
  • Anticipated Private Client Advisor - Chase Private Client - Bay Ridge Area 

    NEW

    JPMorgan Chase &

     - Brooklyn, NY

    Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    4 hours ago from NY City Works
     
  • RIA Int'l Sales & Mrktng Rep 

    NEW

    BNY Mellon

     - Boston, MA

    RIA Int'l Sales & Mrktng Rep (Job Number: 1411178) BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout...

    4 hours ago from EasternMass
     
  • Head of Surveillance and Investigations Teams for NYSE Equities Markets 

    NEW

    Global Network of Exchanges and Clearing Houses

     - New York City, NY

    DescriptionThe Head of Surveillance and Investigations for NYSE Options Markets will be a senior member of the NYSE Regulation team and will work with the Department Head of...

    4 hours ago from NY City Works
     
  • Information Technology Risk and Controls Examiner, Member Regulation 

    NEW

    Independent Securities Regulator

     - New York City, NY

    Job Summary: Plans and conducts on-site information technology controls and compliance examinations of member organizations. Advises surveillance and exam staff on how to assess...

    4 hours ago from NY City Works
     
  • Business Supervision Officer/Supervisory Delegate 

    NEW

    Bank of America

     - New York City, NY

    Candidate will need to have a sound understanding of trading businesses and how trading desks function, ideal candidate should have some experience in the Front Office/Middle...

    4 hours ago from NY City Works
     
  • Regional Sales Director Retirement Services 

    NEW

    Leading Insurance Company

     - New York City, NY

    Job SummaryWHAT DOES IT TAKE TO BE A REGIONAL SALES DIRECTOR? A self-starter with an entrepreneurial spirit whosconsistently positive.Role Characteristics Seasoned individual...

    4 hours ago from NY City Works
     
  • Senior Audit and Compliance Testing Officer 

    NEW

    Network Esc (a Division of Network Temps, Inc.)

     - New York City, NY

    Company DescriptionTop US Executive Search and Recruiting Firm Specializing in: Accounting, Audit, & Taxation Banking & Financial Services Information Technology...

    4 hours ago from NY City Works
     
  • Sr Client Services Rep - Finance and Investment Industry Opportunity 

    NEW

    Bank of America - Finance and Investment Industry

     - New York City, NY

    Asset Management Services Hedge Fund Account Manager Platform oversight and delivery Ensure the efficient daily interface with all PB clients Act as single day-to-day point of...

    4 hours ago from NY City Works
     
  • CCO Investment Advisers & Investment Services 

    NEW

    Human Resources Focused Consulting Firm

     - New York City, NY

    Our client a well regarded, global wealth management and advisory firm seeks a CCO to oversee their Investment Advisers Investment Services division. Specific responsibilities...

    4 hours ago from NY City Works
     
  • Director, Public Communications - Corporate Communications 

    NEW

    Independent Securities Regulator

     - New York City, NY

    Job Summary:Plan, research and write external communications that effectively support and advance FINRA s regulatory mission, public positions, and investor education initiatives.

    4 hours ago from NY City Works
     
  • Seeking individuals for Wealth Management Training Program 

    NEW

    Laidlaw & Company (uk)

     - New York City, NY

    Company Description-170 year legacy of independent investment banking and securities brokerage focused on the needs of domestic and international companies, corporate...

    4 hours ago from NY City Works
     
  • Agency Sales Director 

    NEW

    Leading Provider of Insurance and Other Financial Services

     - Boston, MA

    Job Requirements: S7, Insurance Producers License, S24 (Preferred)Prior experience in growing a sales officePrior recruiting experiencePrior sales experienceAppropriate FINRA...

    4 hours ago from EasternMass
     
  • FINANCE: Associate-Finance 

    NEW

    Goldman Sachs &

     - New York City, NY

    FINANCE Associate-Finance w Goldman Sachs Co. in New York, NY. Work on teams to provide financial advice to real estate, lodging and gaming corporations on MA transactions,...

    4 hours ago from NY City Works
     
  • Financial Sales Management 

    NEW

    AXA Advisors

     - Brooklyn, NY

    Company DescriptionAbout AXA AXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them As a member of the...

    4 hours ago from NY City Works
     
  • VP - Compliance Manager 

    NEW
  • Human Resources Focused Consulting Firm

     - New York City, NY

    Robert Half Financial Services specializes in the placement of professionals with top companies in the market. We have lasting client relationships giving us access to the best...

    4 hours ago from NY City Works
     
  • Operational Risk Manager- Corporate Equity Solutions 

    NEW

    Leading Global Financial Services Firm

     - New York City, NY

    Primary ResponsibilitiesMaintain Policies and Procedures: work with CES Managers to ensure department policies and procedures are created, updated as necessary and maintained in a...

    4 hours ago from NY City Works
     
  • Chase Private Client - Private Client Advisor - New York, NY (Park Ave & 32nd St) - Finance and Investment Industry Opportunity 

    NEW

    JPMorgan - Finance and Investment Industry

     - New York City, NY

    Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    4 hours ago from NY City Works
     
  • Supervisory Support Manager 

    NEW

    Bank of America

     - New York City, NY

    The candidate will join GBAM Central Supervision Teamand will have global responsibility for driving and supporting many aspects of the central controls infrastructure and policy...

    4 hours ago from NY City Works
  • Senior Sales Executive 

    NEW

    Norfolk Southern

     - Plymouth Meeting, PA

    Responsibilities This person will be responsible for working with Financial Consultants, Trust Relationship Managers, and Premier Bankers within a given region to conduct joint...
    5 hours ago from IHispano



  • Compliance Officer 

    NEW

    Top Tier Financial Services Consultancy

     - Quincy, MA

    General compliance related responsibilities as a member of the compliance team in support of the firm s Compliance and Risk programs including the review of accounts for mandate...

    4 hours ago from EasternMass
     
  • Compliance Officer 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    Job DescriptionThe compliance officer will ensure that marketing communications created by different Ameriprise Financial entities satisfy regulatory and internal company...

    1 day ago from Disabled Person
     
  • Compliance Officer 

    NEW

    Human Resources Focused Consulting Firm

     - New York City, NY

    Robert Half Financial Services specializes in the placement of professionals with top companies in the market. We have lasting client relationships giving us access to the best...

    2 days ago from IvyExec
     
  • Compliance Officer 

    NEW

    Marto Consulting

     - Buffalo, NY

    Great opportunity for a licensed principle to work for a global investment bank. This Buffalo location needs a licensed investment professional with Series 7, 65, Series 9/10 or...

    3 days ago from The Ladders
     
  • Compliance Officer 

    NEW

    BNY Mellon

     - Lake Mary, FL

    Know Your Customer ("KYC") is a department expressly created to monitor and control reputational and other risks by conducting Due Diligence on prospective and/or current Pershing...

    3 days ago from BNY Mellon
     
  • Compliance Officer 

    NEW

    Marto Consulting

     - Buffalo, NY

    Company Description: mARTo consulting is an innovative Executive Search Firm specializing in placing talented candidates in start-up through FORTUNE 500 Companies. We focus on...

    3 days ago from ZipRecruiter
     
  • Compliance Officer 

    NEW

    Robert Half Finance & Accounting

     - New York City, NY

    Robert Half Financial Services is recruiting for an experienced Asset Management Compliance professional with Investment Advisor's Act experience. The candidate should be able to...

    3 days ago from Robert Half Finance & Accounting
     
  • Compliance Officer 

    NEW

    Bank

     - New York City, NY

    * Plan, organize, and deliver work on audit engagements, assessing the adequacy of the control framework and document risk issues for business management * Present findings in a...

    3 days ago from Green Key Resources
     
  • Compliance Officer

    Ameriprise Financial

     - Minneapolis, MN

    The compliance officer will ensure that marketing communications created by different Ameriprise Financial entities satisfy regulatory and internal company requirements; support...

    5 days ago from Ameriprise Financial, Inc.
     
  • Compliance Officer

    Financial Services

     - Greenwich, CT

    Job Description: A top broker-dealer in Greenwich, CT is seeing a Compliance Officer with 4-10 years experience with the SEC, FINRA, CFTC, NFA, a law firm, an exchange of another...

    7 days ago from Fairfield County Jobs
LEGAL JOBS
  • LITIGATION ATTORNEY

    Investment Firm Providing Private and Institutional Brokerage

     - Los Angeles, CA

    Wedbush in FINRA arbitrations and FINRA and SEC enforcement proceedings. ... 3 to 4 years of experience withFINRA and SEC matters required Three years...

    14 days ago from IvyExec
     
  • Associate Attorney - Securities

    Winget, Spadafora & Schwartzberg

     - New York City, NY

    Manhattan office. Experience must include FINRA and securities and arbitration litigation. The firm offers competitive pay commensurate with experience and an excellent benefits...

    7 days ago from ZipRecruiter
     
  • A&Q Attorney

    Private Wealth & Asset Management Firm

     - New York City, NY

    as well as regulations promulgated under FINRA, CFTC, NFA and the Federal Reserve as it relates to the hedge funds. The candidate should have working knowledge of non US...

    8 days ago from IvyExec
     
  • VP, Attorney

    Global Investment Solutions Provider

     - Newport Beach, CA

    Company tax rules is a plus Knowledge of FINRA rules, NYSE listed company rules and non-US securities laws a plus Strong oral and written communications skills General Leadership...

    10 days ago from IvyExec
     
  • Corporate Fund Formation Associate Attorney

    Lsj

     - New York City, NY

    d and strategic investor transactions -Fiduciary obligations and side letters -Drafting compensation agreements -Compliance rules and regulations of SEC, FINRA and other...

    10 days ago from ZipRecruiter
     
  • Assistant General Counsel / Lead Attorney

    Leading Provider of Insurance, Investments, and Retirement Products

     - Saint Petersburg, FL

    Preferred Qualifications: Series 7 and 24 FINRA licenses. Frequent demand to establish priorities and meet tight deadlines. Ability to provide quality legal services based on...

    30+ days ago from IvyExec
     
  • White Collar Crime Associate Attorney

    Lsj

     - New York City, NY

    as the Securities and Exchange Commission, FINRA, the Federal Trade Commission, the Office of Foreign Assets Control, the Internal Revenue Service, the Commodity Futures Trading...

    22 days ago from ZipRecruiter
     
  • Senior Regulatory Attorney

    Diversified Financial Services Firm Focusing On Investment Banking and Financial Planning

     - Saint Petersburg, FL

    and its subsidiaries, including SEC, FINRA, and state regulatory inquiries, ... Company regulations. Advanced knowledge of FINRA rules and Securities Exchange Act of...

    30+ days ago from IvyExec
     
  • Corporate Attorney--Fund Formation

    Lsj

     - New York City, NY

    Seed and strategic investor transactions -Fiduciary obligations and side letters -Draft compensation agreements -Compliance rules and regulations of SEC, FINRA and other...

    18 days ago from ZipRecruiter
     
  • Attorney, Sales Practice Policy

    Finra

     - New York City, NY

    The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual ... advice to Member Regulation staff, FINRA membership, and other interested parties...

    5 days ago from FINRA
     
  • BlackRock Trading and Derivatives Attorney 

    NEW

    BlackRock

     - New York

    BlackRock is seeking a lawyer to be part of the in-house legal team covering trading and ... Experience with SEC,FINRA and CFTC rules relating to derivatives and trading platforms...

    1 day ago from BlackRock
     
  • BlackRock Trading and Derivatives Attorney 

    NEW

    Black Rock

     - New York

    BlackRock is seeking a lawyer to be part of the in-house legal team covering trading and ... Experience with SEC,FINRA and CFTC rules relating to derivatives and trading platforms...

    2 days ago from Black Rock
     
  • Senior Counsel

    PNC

     - Pittsburgh, PA

    from FINRA and the SEC; managing FINRA arbitrations; assisting the retail-broker ... managing some civil litigation. The lawyer will also coordinate responses to government...

    10 days ago from PNC Bank
     
  • Attorney, Sales Practice Policy

    Financial Industry Regulatory Authority (finra)

     - New York City, NY

    nepotism. About FINRA FINRA is an independent, non-governmental regulator for all ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA...

    4 days ago from Just Jobs
     
  • Attorney - Investment Mgmt

    Bank of America

     - Boston, MA

    Investment Advisers Act of 1940, and SEC, FINRA and CFTC rules and regulations. * Familiarity with private placements of securities, including those offered pursuant to Regulation...

    13 days ago from Bank of America
     
  • A&Q Attorney 

    NEW

    UBS Financial Services

     - New York City, NY

    as well as regulations promulgated under FINRA, CFTC, NFA and the Federal Reserve as it relates to the hedge funds. The candidate should have working knowledge of non US...

    4 hours ago from NY City Works
     
  • Securities Counsel (Contractor) - FINRA

    Financial Industry Regulatory Authority

     - New York City, NY

    (Contractor) - Market Regulation - Legal - FINRA Participation in examinations, ... or assist in representing theFINRA in disciplinary hearings as its staff attorney,...

    13 days ago from New York City Bar
     
  • A&Q Attorney

    Private Wealth & Asset Management Firm

     - New York City, NY

    as well as regulations promulgated under FINRA, CFTC, NFA and the Federal Reserve as it relates to the hedge funds. The candidate should have working knowledge of non US...

    6 days ago from NY City Works
     
  • Corporate Fund Formation Associate Attorney

    Lsj

     - New York City, NY

    d and strategic investor transactions -Fiduciary obligations and side letters -Drafting compensation agreements -Compliance rules and regulations of SEC, FINRA and other...

    6 days ago from NY City Works
     
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    New Mexico State Personnel Office

     - Santa Fe, NM

    with the Securities and Exchange Commission, FINRA, the offices of the Attorney General, the District Attorneys, the U.S. Attorney, the FBI, and the U.S. Postal Inspector and a...

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  • Digital Attorney

    Complistaff

     - Newark, NJ

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    13 days ago from Startwire
     
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    Wedbush Securities

     - Los Angeles, CA

    Wedbush in FINRA arbitrations and FINRA and SEC enforcement proceedings. * ... clients, and senior management Keyword: lawyer, litigation, counsel From: Wedbush...

    24 days ago from Wedbush Securities
     
  • Senior Prosecuting Attorney (RLD #10100514)

    New Mexico State Personnel Office

     - Santa Fe, NM

    with the Securities and Exchange Commission, FINRA, the offices of the Attorney General, the District Attorneys, the U.S. Attorney, the FBI, and the U.S. Postal Inspector and a...

    19 days ago from GovernmentJobs.com
     
  • Compliance Examiner - Member Regulation, Sales Practice

    Finra

     - Chicago, IL

    reports to broker-dealer executives and FINRA management, including information ... and guidelines through completion of FINRA's structured training program, which...

    4 days ago from FINRA
     
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    NEW

    Finra

     - Kansas City, MO

    reports to broker-dealer executives and FINRA management, including information ... and guidelines through completion of FINRA's structured training program, which...

    2 days ago from FINRA