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Financial Industry Regulatory Authority Jobs in Matthews

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United States
Posted On Sep 03, 26
Full-time 3 views Experience : 10-10 yrs required
Practice Area:
Fintech & Blockchain Finance - Financial Services Regulation Finance - Banking Finance - General Finance - Structured Finance
Job Tags:
agreements blockchain Capital Markets cryptocurrency derivatives developers finance Financial Institutions ISDA lending NYSE partnerships Privacy
Practice Area:
Fintech & Blockchain Finance - Financial Services Regulation Finance - Banking Finance - General Finance - Structured Finance
Job Tags:
agreements blockchain Capital Markets cryptocurrency derivatives developers finance Financial Institutions ISDA lending NYSE partnerships Privacy

Title: Senior Counsel, Transactions (Capital Markets) Job Responsibilities: - Serve as a trusted legal partner to the capital markets business development team, focusing on supporting crypto exchange partnerships, digital asset market maker agreements, and institutional capital markets transactions globally. -...

Posted On Sep 22, 26
Full-time 2 views Experience : Min 6 yrs required
Practice Area:
Finance - Transportation Finance Finance - General
Job Tags:
agreements Bank Secrecy Act brokers equity Ethics family FCPA finance Financial Institutions FINRA Insurance lease leasing lending licensing OFAC pension Software stage Uniform Commercial Code
Practice Area:
Finance - Transportation Finance Finance - General
Job Tags:
agreements Bank Secrecy Act brokers equity Ethics family FCPA finance Financial Institutions FINRA Insurance lease leasing lending licensing OFAC pension Software stage Uniform Commercial Code

Title: Attorney, Equipment Finance - Transaction and Negotiations Job Responsibilities: The Attorney, Equipment Finance - Transaction and Negotiations role at the company involves a diverse range of responsibilities. The attorney will provide significant legal support to the Equipment Finance (EF) business...

Posted On Sep 08, 26
Full-time 14 views Experience : Min 10 yrs required
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management

General Counsel – Broker-Dealer Regulatory Compliance Job Responsibilities: -... support for the company's financial services business, offering legal... brokerage and investment advisory activities. - Review, revise, and develop internal policies and procedures in response to business initiatives and regulatory developments...

Posted On Sep 27, 26
Full-time 1 views Experience : 5-7 yrs required
Job Tags:
asset management banking Capital Markets construction family finance Financial Institutions Insurance pension spectrum Taxation
Job Tags:
asset management banking Capital Markets construction family finance Financial Institutions Insurance pension spectrum Taxation

Job Title: Financial Services - State and... you will advise on regulatory changes, assess and support... compliance and reporting needs for both public and private entities. Your role involves developing and implementing strategies, operating models, and compliance frameworks to manage...

Posted On Aug 20, 26
Full-time 3 views Experience : Min 8 yrs required
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General
Job Tags:
agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General
Job Tags:
agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts

brokerage, custodian, and recordkeeping business for retirement plans and accounts. - Advise on the impacts of new and changing regulations affecting the retirement business of a broker-dealer, investment advisor, custodian, and record keeper. This includes keeping abreast of regulatory developm...

Posted On Sep 23, 26
Full-time 17 views Experience : 8-14 yrs required
Practice Area:
Antitrust and Competition - Litigation and Investigations Antitrust and Competition - Mergers and Acquisitions (Corporate)
Job Tags:
AML antitrust antitrust Compliance Competition Law criminal Energy finance first chair Government government contracts Insurance Litigation M&A OFAC regulatory compliance Software white collar
Practice Area:
Antitrust and Competition - Litigation and Investigations Antitrust and Competition - Mergers and Acquisitions (Corporate)
Job Tags:
AML antitrust antitrust Compliance Competition Law criminal Energy finance first chair Government government contracts Insurance Litigation M&A OFAC regulatory compliance Software white collar

matters for the company. This role is integral to the company's stand-alone business, which will persist following the spin-off of its Aerospace segment. As a member of the Regulatory and Compliance department, the... candidate will work collaboratively with peers ac...

Posted On Sep 01, 26
Full-time 5 views Experience : 5-7 yrs required
Job Tags:
brokers contracts family fraud Insurance Litigation professional liability salvage Software subrogation
Job Tags:
brokers contracts family fraud Insurance Litigation professional liability salvage Software subrogation

guidelines, reviews coverage, determines liability and damages, sets financial reserves, secures information to... negotiate and settle claims, and presents claims to leadership, as needed. Manages an inventory of highly complex Financial Lines claims, with large... exposures that require a hig...

Posted On Aug 12, 26
Full-time 1 views Experience : 7-10 yrs required
Practice Area:
Corporate - General Litigation - General (consumer)
Job Tags:
Commercial Contracts construction corporate governance corporate transactions Corporation due diligence Energy information technology Insurance Litigation Mergers and Acquisitions mining regulatory compliance special projects Water
Practice Area:
Corporate - General Litigation - General (consumer)
Job Tags:
Commercial Contracts construction corporate governance corporate transactions Corporation due diligence Energy information technology Insurance Litigation Mergers and Acquisitions mining regulatory compliance special projects Water

Title: Paralegal Job Responsibilities: The Paralegal at the company will be responsible for supporting the Legal Department across various corporate governance, litigation, compliance, commercial, and legal operations matters. The role reports to the VP Legal, Americas, and involves working closely with...

Posted On Aug 20, 26
Full-time 2 views Experience : Min 8 yrs required
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts

business of a broker-dealer, investment advisor, custodian, and record keeper. This includes regulatory developments from the Department... of Labor (DOL), Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA),... and state... regulators. -...

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