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Broker Dealer Attorney Jobs in Los Angeles

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Broker Dealer Attorney Jobs in Los Angeles - Related Job Titles

Isda Attorney
United States
Posted On Sep 07, 26
Full-time 59 views Experience : 2-6 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate transactions Financial Institutions health insurance hedge funds high yield initial public offerings Insurance private equity REITs Rule 144A Securities trusts underwriters Venture Capital
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate transactions Financial Institutions health insurance hedge funds high yield initial public offerings Insurance private equity REITs Rule 144A Securities trusts underwriters Venture Capital

Title: Capital Markets Associate Job Responsibilities: The Capital Markets Associate will join the Corporate Practice at a law firm and will be responsible for handling significant corporate transactions with a focus on Capital Markets. Responsibilities include working on . and cross-border transactions,...

Posted On Oct 06, 26
Full-time
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
blue sky laws Capital Markets Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
blue sky laws Capital Markets Securities

(Blue Sky) – Senior Attorney Job Responsibilities: - Advise on federal... state Blue Sky laws, broker-dealer regulations, and related compliance... matters. - Support securities offerings, private company financings, investment funds, capital markets transactions, or other securities matters. - Demonstrate strong working knowledge of Regulation...

Posted On Oct 07, 26
Full-time
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
blue sky laws Capital Markets Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
blue sky laws Capital Markets Securities

Job Title: Senior Attorney - Technology Group Job Responsibilities: The... Senior Attorney will play a crucial... and state Blue Sky laws. - Providing guidance on broker-dealer regulations and related compliance... matters. - Supporting securities offerings, private company financings, investment funds, and capital markets transactions....

Posted On Sep 14, 26
Full-time 15 views Experience : 3-7 yrs required
Practice Area:
Finance - General Finance - Financial Services Regulation Fintech & Blockchain
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws
Practice Area:
Finance - General Finance - Financial Services Regulation Fintech & Blockchain
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws

Title: Financial Services Associate Job Responsibilities: - The Financial Services Associate will join the Financial Services group at the law firm, advising a diverse range of clients including financial services firms, asset managers, and investment funds. - The role involves providing legal counsel...

Posted On Sep 07, 26
Full-time 4 views Experience : 4-6 yrs required
Practice Area:
Litigation - Securities Litigation - Defense Litigation - Financial Services - Defense
Job Tags:
depositions document review financial services litigation FINRA health insurance Insurance Securities
Practice Area:
Litigation - Securities Litigation - Defense Litigation - Financial Services - Defense
Job Tags:
depositions document review financial services litigation FINRA health insurance Insurance Securities

Job Responsibilities: - Represent broker-dealers and registered representatives in... FINRA arbitrations related to securities sales practices and other proceedings. - Analyze legal issues, conduct research, and draft briefs that address sophisticated legal matters. - Prepare for and participate in motion...

Posted On Oct 01, 26
Full-time 2 views Experience : Min 1 yrs required
Practice Area:
Administrative Law Government - General
Job Tags:
contracts criminal Ethics evidence federal government FINRA fraud marketing pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title
Practice Area:
Administrative Law Government - General
Job Tags:
contracts criminal Ethics evidence federal government FINRA fraud marketing pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title

Job Title: Junior Attorney - EXAMS Job Responsibilities: The Junior... Attorney - EXAMS position within... In this role, the attorney will: - Participate in and... support for examination or inspection activities related to broker dealers. - Collaborate as a... team member with other s...

Posted On Oct 08, 26
Full-time
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
abuse contracts criminal depositions Ethics evidence federal government Litigation pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
abuse contracts criminal depositions Ethics evidence federal government Litigation pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title

Title: Market Abuse Unit Attorney Job Responsibilities: As a Market Abuse... Unit Attorney within the Division of... Enforcement, Market Abuse Unit (MAU), you will be tasked with investigating and prosecuting large-scale abusive market practices by institutions, market professionals, and individuals that threaten...

Posted On Jul 26, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Contract Law Corporate - General
Job Tags:
agreements Capital Markets Commercial Contracts contracts criminal domestic partner family Financial Industry Regulatory Authority FINRA Securities Securities Exchange Act of 1934 wealth management
Practice Area:
Corporate - Contract Law Corporate - General
Job Tags:
agreements Capital Markets Commercial Contracts contracts criminal domestic partner family Financial Industry Regulatory Authority FINRA Securities Securities Exchange Act of 1934 wealth management

Title: Vice President, Contracts Attorney Job Responsibilities: - Draft, negotiate, review,... and manage a wide variety of contracts, including but not limited to corporate agreements, commercial contracts, and vendor agreements. - Provide advice and counsel on structuring, drafting, negotiating, and interpreting contracts and...

Posted On Oct 06, 26
Full-time
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
blue sky laws Capital Markets Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
blue sky laws Capital Markets Securities

(Blue Sky) – Senior Attorney Job Responsibilities: - Advise on federal... laws. - Provide guidance on broker-dealer regulations and related compliance... matters. - Support securities offerings, private company financings, investment funds, capital markets transactions, and other securities-related matters. - Possess a strong working knowledge of...

Posted On Oct 07, 26
Full-time
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
blue sky laws Capital Markets Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
blue sky laws Capital Markets Securities

Job Title: Senior Attorney - Technology Group (Blue... Blue Sky laws, and broker-dealer regulations. - Ensure compliance with... securities offerings, private company financings, investment funds, and capital markets transactions. - Support various securities matters, leveraging a strong understanding of Regulation D, Section...

Posted On Oct 09, 26
Full-time 1 views Experience : 3-20 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Practice Area:
Corporate - Securities and Capital Markets Corporate - General

a highly qualified Senior Attorney to join its Technology... on federal securities law exemptions, state Blue Sky laws, broker-dealer regulations, and related compliance... on federal securities law exemptions and state Blue Sky securities offerings and private company fi...

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