Post Jobs Upload Your Resume Log in

Financial Industry Regulatory Authority Jobs in West Caldwell

37 jobs
  1. Legal Jobs
  2. Browse Legal Jobs
  3. New Jersey
  4. West Caldwell
  5. Financial Industry Regulatory Authority

Preview Results

Here’s a preview of jobs we found from direct employer sources. To protect confidentiality and prevent scraping, full results require an email + account access.

Direct-from-employer coverage Private search Less competition vs. paid ads
Filter by

Create a Job Alert for this Search

United States
Posted On Jul 15, 26
Full-time 1 views Experience : 6-10 yrs required
Practice Area:
Corporate - General Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Finance - General
Job Tags:
agreements banking Commercial Lending company policies contracts corporate governance corporate transactions equity equity financing Intellectual Property lending Litigation regulatory compliance
Practice Area:
Corporate - General Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Finance - General
Job Tags:
agreements banking Commercial Lending company policies contracts corporate governance corporate transactions equity equity financing Intellectual Property lending Litigation regulatory compliance

units on various legal, regulatory, compliance, governance, transactional, intellectual... and operational matters. - Research and evaluate legal and regulatory risks related to business... decisions and operations. - Offer legal counsel regarding loan origination activities and applicable regulatory requirements. - Handle inquiries, examinations,......

Posted On Jul 19, 26
Full-time 3 views Experience : 8-8 yrs required
Job Tags:
ETFs family finance FINRA hedge funds Insurance Investment Advisers Act of 1940 marketing Mutual Funds private equity Securities Exchange Act of 1934 securities laws special projects Venture Capital
Job Tags:
ETFs family finance FINRA hedge funds Insurance Investment Advisers Act of 1940 marketing Mutual Funds private equity Securities Exchange Act of 1934 securities laws special projects Venture Capital

Responsibilities: - Participate in mock regulatory examinations and compliance program... manuals promoting compliance with regulatory requirements. - Provide compliance assistance... and advice to clients, including those advising private funds and/or registered products. - Take a leading role on complex projects. - Develop client relationships...

Posted On Aug 11, 26
Full-time 4 views Experience : 8-15 yrs required
Practice Area:
Bankruptcy – Restructuring (Chap. 11) Bankruptcy-General Finance - Financial Services Regulation Finance - General
Job Tags:
banking Bankruptcy family Financial Restructuring FINRA FLSA Insolvency Insurance licensing pension restructuring Securities title
Practice Area:
Bankruptcy – Restructuring (Chap. 11) Bankruptcy-General Finance - Financial Services Regulation Finance - General
Job Tags:
banking Bankruptcy family Financial Restructuring FINRA FLSA Insolvency Insurance licensing pension restructuring Securities title

supporting legal and regulatory matters impacting the financial market infrastructure businesses of... the company. This role involves addressing issues related to risk management, bankruptcy, insolvency, default scenarios, and recovery and wind-down planning for clearing agency participants. The position requires providin...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

Apply
Posted On Aug 11, 26
Full-time
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse

independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms and coordinate with specialists and internal teams to execute a comprehensive monitoring strategy. - Collaborate cross-functionally with internal departments to analyze regulatory developments,...

Posted On Sep 22, 26
Full-time 3 views Experience : Min 6 yrs required
Practice Area:
Finance - Banking 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 - Banking 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 for Equipment Finance at the company is tasked with providing comprehensive legal support to the Equipment Finance (EF) business line. The responsibilities include: - Structuring, drafting, reviewing, and negotiating vendor program...

Posted On Sep 03, 26
Full-time 2 views Experience : Min 6 yrs required
Practice Area:
Corporate - M&A Corporate - Contract Law Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Data Privacy - Transactional Corporate - General Finance - General
Job Tags:
agreements AML criminal Data Protection equity insurance coverage IP licensing Partnership Privacy startup stock options title
Practice Area:
Corporate - M&A Corporate - Contract Law Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Data Privacy - Transactional Corporate - General Finance - General
Job Tags:
agreements AML criminal Data Protection equity insurance coverage IP licensing Partnership Privacy startup stock options title

Head of Legal & Compliance Location: Remote, USA Department: General & Administrative Job Description: Employment Type: Full time Location Type: Remote Department: General & AdministrativeLegal Compensation: - Zone 1: The expected salary range in San Francisco, New York, Los Angeles, and Seattle is $255,000 – $280,500. Offers Equity....

Posted On Sep 23, 26
Full-time Experience : 5-8 yrs required
Practice Area:
Finance - Financial Services Regulation
Job Tags:
agreements contracts due diligence FINRA
Practice Area:
Finance - Financial Services Regulation
Job Tags:
agreements contracts due diligence FINRA

responsible for owning the compliance function at the company. This includes onboarding registered representatives, interfacing with the Financial Industry Regulatory Authority (FINRA),... leading annual audits, and managing ongoing compliance requirements. The role requires ensuring that all compliance activities are con...

Posted On Aug 27, 26
Full-time 1 views Experience : Min 15 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Contract Law Corporate - General Finance - General Finance - Financial Services Regulation
Job Tags:
acquisitions agreements brokers Capital Markets capital raising CCPA Commercial Contracts contracts corporate governance corporate transactions credit facilities directors divestitures due diligence equity fiduciary finance health insurance indemnity Insurance Joint Ventures Letters of Credit M&A mergers Mergers and Acquisitions NASDAQ NYSE partnerships Securities stock exchange tender offers Visa
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - Contract Law Corporate - General Finance - General Finance - Financial Services Regulation
Job Tags:
acquisitions agreements brokers Capital Markets capital raising CCPA Commercial Contracts contracts corporate governance corporate transactions credit facilities directors divestitures due diligence equity fiduciary finance health insurance indemnity Insurance Joint Ventures Letters of Credit M&A mergers Mergers and Acquisitions NASDAQ NYSE partnerships Securities stock exchange tender offers Visa

Title: Deputy General Counsel Job Responsibilities: - Lead legal support for all capital markets activities, including equity offerings, debt issuances, share repurchase programs, tender offers, and other capital management initiatives. - Advise management and the Board regarding SEC, NYSE, and other securities law...

Posted On Sep 07, 26
Full-time 1 views Experience : Min 12 yrs required
Practice Area:
Administrative Law Government and Government Relations Government - General
Job Tags:
AML Bank Secrecy Act enforcement proceedings equity family financial services regulatory FinCEN fraud government relations licensing
Practice Area:
Administrative Law Government and Government Relations Government - General
Job Tags:
AML Bank Secrecy Act enforcement proceedings equity family financial services regulatory FinCEN fraud government relations licensing

Title: Sr. Director, US Regulatory Legal Job Responsibilities: - Manage, mentor,... strategy and decision-making. - Anticipate regulatory and legal risks, and... proactively design strategies to manage them. - Influence the long-term success strategy of the function, driving innovation and continuous improvement in legal p...

Posted On Jul 07, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Fintech & Blockchain Finance - Financial Services Regulation Finance - General
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 - General
Job Tags:
agreements blockchain Capital Markets cryptocurrency derivatives developers finance Financial Institutions ISDA lending NYSE partnerships Privacy

Title: Legal Counsel - Transactions Job Responsibilities: The Legal Counsel - Transactions at the company will play a significant role in managing complex commercial transactional work. The responsibilities include: - Acting as a trusted legal partner to the capital markets business development team...

Posted On Jul 15, 26
Full-time 2 views Experience : 6-10 yrs required
Practice Area:
Corporate - M&A Corporate - General Corporate - Compliance Corporate - Contract Law Finance - General Finance - Financial Services Regulation
Job Tags:
agreements banking Commercial Lending company policies contracts corporate governance corporate transactions equity equity financing Intellectual Property lending Litigation regulatory compliance
Practice Area:
Corporate - M&A Corporate - General Corporate - Compliance Corporate - Contract Law Finance - General Finance - Financial Services Regulation
Job Tags:
agreements banking Commercial Lending company policies contracts corporate governance corporate transactions equity equity financing Intellectual Property lending Litigation regulatory compliance

environment and is responsible for providing comprehensive legal advice and support across the organization. This includes handling legal, regulatory, compliance, governance, transactional, and... operational matters. The role requires partnering with senior leadership and business units to identify risks, support strategic...

Posted On Jul 21, 26
Full-time 3 views Experience : Min 8 yrs required
Practice Area:
Electric Power - Transactional Energy and Oil & Gas - Transactional Finance - Project Finance Energy and Oil & Gas - General Finance - General
Job Tags:
Bank Secrecy Act due diligence Energy equity Ethics family FCPA finance financing documents FINRA Government Insurance licensing natural gas OFAC pension project finance stage
Practice Area:
Electric Power - Transactional Energy and Oil & Gas - Transactional Finance - Project Finance Energy and Oil & Gas - General Finance - General
Job Tags:
Bank Secrecy Act due diligence Energy equity Ethics family FCPA finance financing documents FINRA Government Insurance licensing natural gas OFAC pension project finance stage

Title: Project Finance Attorney Job Responsibilities: Successful candidates for positions in the company's Law Division consistently provide excellent advice and guidance to clients and colleagues on a variety of legal matters. They build trusting relationships that allow the business to make well-informed...

Posted On Sep 07, 26
Full-time 3 views Experience : 3-5 yrs required
Practice Area:
Insurance - Regulatory & Compliance
Job Tags:
acquisitions agreements corporate transactions Government Insurance Joint Ventures mergers private equity regulatory compliance spectrum title
Practice Area:
Insurance - Regulatory & Compliance
Job Tags:
acquisitions agreements corporate transactions Government Insurance Joint Ventures mergers private equity regulatory compliance spectrum title

Job Title: Insurance Regulatory and Compliance Associate Job Responsibilities: The... Insurance Regulatory and Compliance Associate will... clients in the insurance industry. Key responsibilities include: - Advising... corporate transactions related to the insurance industry. - Responding to regulatory inquiries... and ensuring regulatory... reporting compliance. - Addre...

Posted On Sep 10, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Real Estate - General Real Estate - Purchase and Sale (Commercial) Insurance - Regulatory & Compliance
Job Tags:
CRC Deferred Compensation endorsements escrow health benefits health insurance Insurance insurance coverage Software title
Practice Area:
Real Estate - General Real Estate - Purchase and Sale (Commercial) Insurance - Regulatory & Compliance
Job Tags:
CRC Deferred Compensation endorsements escrow health benefits health insurance Insurance insurance coverage Software title

materials associated with transaction matters. The role relies heavily on experience and judgment to plan and accomplish assignments effectively. Key responsibilities include: - Utilizing underwriting standards and guidelines within delegated authority limits to underwrite the... issuance of title insurance. - Providing gu...

Posted On Sep 23, 26
Full-time 3 views Experience : 6-6 yrs required
Practice Area:
Insurance Coverage Insurance - Regulatory & Compliance
Job Tags:
children contracts crime depositions endorsements family health insurance indemnity Insurance Litigation marketing pension professional liability Surety Bonds Transportation trials
Practice Area:
Insurance Coverage Insurance - Regulatory & Compliance
Job Tags:
children contracts crime depositions endorsements family health insurance indemnity Insurance Litigation marketing pension professional liability Surety Bonds Transportation trials

Title: Associate Senior Claim Counsel Job Responsibilities: - Analyze, investigate, and resolve Bond & Specialty claims of moderate severity and complexity with minimal supervision, adhering to operational policies. - Retain, monitor, and manage outside counsel and other vendors as needed, utilizing incident response...

Posted On Jul 13, 26
Full-time 4 views Experience : Min 3 yrs required
Practice Area:
Corporate - Technology Transactions Corporate - Compliance Corporate - Contract Law Data Privacy - Transactional Intellectual Property - General IP_ - Trademark/Copyright-Transaction Corporate - General
Job Tags:
acquisitions agreements artificial intelligence banking Cybersecurity Data Protection divestitures emerging technologies Financial Industry Regulatory Authority FINRA Insurance Intellectual Property Investment Banking IP Litigation Media Privacy Securities Software wealth management
Practice Area:
Corporate - Technology Transactions Corporate - Compliance Corporate - Contract Law Data Privacy - Transactional Intellectual Property - General IP_ - Trademark/Copyright-Transaction Corporate - General
Job Tags:
acquisitions agreements artificial intelligence banking Cybersecurity Data Protection divestitures emerging technologies Financial Industry Regulatory Authority FINRA Insurance Intellectual Property Investment Banking IP Litigation Media Privacy Securities Software wealth management

on global legal and regulatory requirements, trends, and developments... for a broad range of technology and data-related matters, including artificial intelligence, emerging technologies, recordkeeping, electronic communications, social media, intellectual property, cybersecurity, privacy, data protection, outsourcing, cloud computing, and operational resilience. -...

Posted On Sep 17, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Criminal Law - Prosecution
Job Tags:
banking brokers criminal finance Financial Industry Regulatory Authority fraud Harassment Litigation Money Laundering Securities Taxation trials
Practice Area:
Criminal Law - Prosecution
Job Tags:
banking brokers criminal finance Financial Industry Regulatory Authority fraud Harassment Litigation Money Laundering Securities Taxation trials

Bureau (MECB) is tasked with handling long-term investigations into complex financial enterprises and significant fraudulent... schemes. This role involves addressing large-scale white-collar crimes, including public corruption matters. The ADA will engage in the following responsibilities: - Collaborate with various...

Posted On Aug 20, 26
Full-time 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

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

Posted On Jun 23, 26
Full-time 13 views Experience : 4-4 yrs required
Practice Area:
Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Business Formation Capital Markets equity Financial Industry Regulatory Authority initial public offerings IPO Mergers and Acquisitions Securities underwriters Venture Capital
Practice Area:
Corporate - M&A Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Business Formation Capital Markets equity Financial Industry Regulatory Authority initial public offerings IPO Mergers and Acquisitions Securities underwriters Venture Capital

Title: Associate Attorneys - Capital Markets Job Responsibilities: - Represent clients and manage comprehensive projects both internally and externally, particularly with . companies and professionals. - Coordinate and manage transactions such as initial public offerings, public and private mergers and acquisitions, and equity...

Posted On Jul 15, 26
Contract, Part-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Business Law Capital Markets contracts corporate governance Corporate Law due diligence FINRA fund formation M&A operating agreements private equity Securities
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Business Law Capital Markets contracts corporate governance Corporate Law due diligence FINRA fund formation M&A operating agreements private equity Securities

Title: Freelance Attorney - Securities & Corporate Law Job Responsibilities: - Lead the drafting and review of private placement memoranda (PPMs), including sections on risk factors, business descriptions, use of proceeds, capitalization, and management discussion. - Structure and advise on exempt offerings under...

By Employer Type

In-House Law Firm Public Interest Recruiter Government
Narrow Your Search Results - Try Advanced Search
Share these jobs with a friend