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Finra Jobs in Anaheim

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United States
Posted On Sep 18, 26
Full-time 2 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software

Title: Private Funds Paralegal Job Responsibilities: The Private Funds Paralegal will play a crucial role in supporting attorneys throughout various stages of fund formation and management. Key responsibilities include: - Assisting attorneys with the formation and structuring of private investment funds, such as...

Posted On Sep 01, 26
Full-time 11 views Experience : 8-10 yrs required
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer

Title: Private Banker Job Responsibilities: A Private Banker is tasked with developing and managing client relationships with high-net-worth and ultra-high-net-worth individuals and families. The role requires providing integrated financial services advice, including banking, credit, asset management, trust and estate planning, and brokerage....

Posted On Sep 01, 26
Full-time 5 views Experience : 10-10 yrs required
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer

Title: Private Banker Job Responsibilities: - Develop and manage client relationships with high-net-worth and ultra-high-net-worth individuals and families in a designated market. - Provide integrated financial services advice, including banking, credit, asset management, trust and estate planning, and brokerage. - Manage overall relationship profitability...

Posted On Sep 01, 26
Full-time 8 views Experience : 8-10 yrs required
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer

Title: Private Banker Job Responsibilities: A Private Banker is responsible for developing and managing client relationships with high-net-worth and ultra-high-net-worth individuals and families within a specified market. The role involves providing integrated financial services advice, which includes banking, credit, asset management, trust...

Posted On Sep 07, 26
Full-time 2 views Experience : Min 5 yrs required
Job Tags:
artificial intelligence data privacy depositions FINRA health insurance Insurance Litigation Securities Software
Job Tags:
artificial intelligence data privacy depositions FINRA health insurance Insurance Litigation Securities Software

Title: Legal Support Specialist Job Responsibilities: The Legal Support Specialist is tasked with providing advanced legal support to attorneys involved in complex litigation matters. This role requires a deep understanding of litigation procedures, document management, and case preparation from inception through post-trial....

Posted On Jul 08, 26
Full-time Experience : 10-10 yrs required
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer

Lead Private Banker WHAT IS THE OPPORTUNITY? The role involves developing and managing client relationships with high-net-worth and ultra-high-net-worth individuals and families within a specific market. The Team Lead Private Banker provides integrated financial services advice, including banking, credit, asset management,...

Posted On Jul 29, 26
Full-time Experience : Min 7 yrs required
Practice Area:
Insurance Coverage Insurance Defense - General Litigation - Commercial Personal Injury Defense Professional Liability Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media personal injury defense professional liability Professional Liability Law school districts Securities
Practice Area:
Insurance Coverage Insurance Defense - General Litigation - Commercial Personal Injury Defense Professional Liability Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media personal injury defense professional liability Professional Liability Law school districts Securities

Title Professional Liability Associate Attorney Job Responsibilities The Professional Liability Associate Attorney will join the law firm's Professional Liability Practice, primarily focusing on defending professional liability claims. Responsibilities include: - Working with an experienced trial team in areas such as...

Posted On Sep 02, 26
Full-time 2 views Experience : Min 7 yrs required
Practice Area:
Professional Liability Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media personal injury defense professional liability Professional Liability Law school districts Securities
Practice Area:
Professional Liability Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media personal injury defense professional liability Professional Liability Law school districts Securities

Liability Associate Attorney Job Title Professional Liability Associate Attorney Job Responsibilities The Professional Liability Associate Attorney will join the law firm's Professional Liability Practice. The attorney will have the opportunity to work with an experienced trial team focusing on Real Estate and...

Posted On Sep 14, 26
Full-time 1 views Experience : Min 12 yrs required
Job Tags:
asset management banking credit facilities criminal FINRA mortgage loans private client shareholders
Job Tags:
asset management banking credit facilities criminal FINRA mortgage loans private client shareholders

Title: Private Client Advisor II Job Responsibilities: The Private Client Advisor II is responsible for acquiring new clients, deepening client relationships, and building upon an internal and external network to achieve business development goals. Key responsibilities include: - Leading the Client Management...

Posted On Sep 14, 26
Full-time 1 views Experience : 12-18 yrs required
Job Tags:
asset management banking credit facilities criminal FINRA mortgage loans private client shareholders
Job Tags:
asset management banking credit facilities criminal FINRA mortgage loans private client shareholders

Title: Private Client Advisor II Job Responsibilities: - Lead the Client Management Process to identify new business development opportunities. - Acquire new clients and deepen client relationships to achieve business development goals. - Build and maintain an internal and external network to support business...

Posted On Sep 18, 26
Full-time 2 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software

Title: Private Funds Paralegal Job Responsibilities: The Private Funds Paralegal will be a crucial member of the Private Fund Practice within the Technology Companies Group at the law firm. The individual will support attorneys across various stages of fund formation, investor onboarding,...

Posted On Aug 25, 26
Full-time Experience : Min 10 yrs required
Practice Area:
Government and Government Relations Government - General
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials
Practice Area:
Government and Government Relations Government - General
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials

Title: Director, Enforcement Job Responsibilities: The Director, Enforcement is responsible for managing a team of 5-8 Enforcement attorneys, overseeing the development and resolution of enforcement cases through all stages from inception to completion. The Director is tasked with ensuring that the outcome...

Posted On Jun 16, 26
Full-time 5 views Experience : Min 4 yrs required
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - General
Job Tags:
alcohol children Collective Bargaining Disability Benefits Employment Claims Employment Law employment litigation Federal Employment Law FINRA health benefits Insurance Labor Law Litigation partnerships regulatory compliance Visa
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - General
Job Tags:
alcohol children Collective Bargaining Disability Benefits Employment Claims Employment Law employment litigation Federal Employment Law FINRA health benefits Insurance Labor Law Litigation partnerships regulatory compliance Visa

Title: Senior Counsel - AVP, Employment Counseling & Litigation Job Responsibilities: - Lead or participate in moderately complex initiatives and deliverables, contributing to large-scale planning. - Provide legal advice and represent the company in highly complex litigation, negotiations, settlement discussions,...

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

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 arguments. - Prepare outlines and...

Attorney in Los Angeles, CA

Public Interest • **Members Only** Los Angeles, CA

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Posted On Jul 26, 26
Full-time 3 views
Job Tags:
Affirmative Action blockchain child Code of Conduct Cybersecurity domestic partner family FINRA fraud Insurance invention Money Laundering Securities spouse
Job Tags:
Affirmative Action blockchain child Code of Conduct Cybersecurity domestic partner family FINRA fraud Insurance invention Money Laundering Securities spouse

Title: Senior Principal Investigator, Crypto Asset Investigations - Blockchain Technology Job Responsibilities: - Independently lead investigations concerning tokenized securities and other crypto asset activities of organization member firms and associated persons. - Document investigative strategies, findings, and results in a timely...

Attorney in Los Angeles, CA

Public Interest • **Members Only** Los Angeles, CA

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Posted On Aug 12, 26
Full-time 1 views Experience : 3-5 yrs required
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

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Lead risk monitoring activities for complex and elevated-risk member firms, utilizing independent judgment with the guidance of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal...

Attorney in Los Angeles, CA

Public Interest • **Members Only** Los Angeles, CA

Apply
Posted On Aug 20, 26
Full-time Experience : 2-10 yrs required
Job Tags:
Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse
Job Tags:
Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Exam and Regulatory Conduct Job Responsibilities: The Director of the Crypto Exam and Regulatory Conduct team is tasked with leading a team of investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory obligations. Key...

Attorney in Los Angeles, CA

Public Interest • **Members Only** Los Angeles, CA

Apply
Posted On Aug 20, 26
Full-time 1 views Experience : 2-10 yrs required
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: The Director of the Crypto Fraud & Market Abuse team is responsible for leading a highly skilled team of investigators focused on detecting, investigating, and mitigating crypto-related fraud and market...

Attorney in Los Angeles, CA

Public Interest • **Members Only** Los Angeles, CA

Apply
Posted On Sep 01, 26
Full-time 1 views
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark

ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Identify existing and emerging risks, and interact with internal and external parties under minimal supervision. - Collaborate with internal departments to analyze, communicate, and make recommendations regarding regulatory intelligence. -...

Posted On Aug 24, 26
Full-time 1 views Experience : 2-11 yrs required
Practice Area:
Litigation - Financial Services - Defense
Practice Area:
Litigation - Financial Services - Defense

The position is ideal for 4th to 6th year associates interested in financial services litigation, particularly in representing broker-dealers and registered representatives in FINRA issues and conduct... research for drafting briefs on sophisticated legal in FINRA arbitration...

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