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Finra Jobs in City Of Industry

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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 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

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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

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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

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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. -...

Attorney in Los Angeles, CA

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

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Posted On Sep 22, 26
Full-time Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Director, Market Strategy & Research Job Responsibilities: The Director, Market Strategy & Research is responsible for leading proactive regulatory risk assessment and developing regulatory strategies. Key responsibilities include: - Conducting continuous qualitative research into market conditions and developments in collaboration with Surveillance...

Posted On Sep 14, 26
Full-time 6 views Experience : Min 12 yrs required
Job Tags:
asset management banking credit facilities criminal mortgage loans private client shareholders
Job Tags:
asset management banking credit facilities criminal mortgage loans private client shareholders

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

Posted On Aug 16, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Professional Liability Defense
Job Tags:
appellate depositions FINRA Mediation professional liability trials
Practice Area:
Professional Liability Defense
Job Tags:
appellate depositions FINRA Mediation professional liability trials

to making a positive impact in the legal profession, specifically within the Professional Liability Practice Group. - The role requires defending against various types of Professional Liability claims, including employment and FINRA defense matters. - Responsibilities include... reviewing and preparing summaries of...

Posted On Jul 16, 26
Full-time 1 views Experience : Min 15 yrs required
Practice Area:
Professional Liability Defense Insurance Defense - General Personal Injury Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities
Practice Area:
Professional Liability Defense Insurance Defense - General Personal Injury Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities

Title: Professional Liability Partner Job Responsibilities: - Defend professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Conduct strong research and writing to support litigation efforts. - Represent a diverse range of professionals either by direct...

Attorney in Los Angeles, CA

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

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Posted On Jul 26, 26
Full-time 2 views Experience : Min 12 yrs required
Job Tags:
Affirmative Action agreements child Code of Conduct domestic partner family FINRA Insurance invention Securities securities laws spouse
Job Tags:
Affirmative Action agreements child Code of Conduct domestic partner family FINRA Insurance invention Securities securities laws spouse

Title: Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job Responsibilities: The Senior Advisor: Market Regulation and Regulatory Service Agreement (RSA) acts as a strategic regulatory advisor and subject matter expert on market structure, market regulation, and RSA matters. The primary...

Attorney in Los Angeles, CA

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

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Posted On Jul 26, 26
Full-time Experience : 3-10 yrs required
Job Tags:
Affirmative Action blockchain child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse
Job Tags:
Affirmative Action blockchain child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Senior Principal Investigator, Crypto Asset Investigations - Tokenized Securities Markets Job Responsibilities: - Conduct high-complexity investigations into crypto asset activities of organization member firms and their associated persons. - Provide subject matter expertise to Regulatory Operations staff on crypto asset matters and...

Posted On Jul 29, 26
Full-time 2 views Experience : Min 15 yrs required
Practice Area:
Professional Liability Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities
Practice Area:
Professional Liability Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities

Title Professional Liability Partner Job Responsibilities - Defend professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Represent professionals such as accountants, architects & engineers, attorneys, bankers, computer and media professionals (cyber...

Posted On Aug 21, 26
Full-time 1 views Experience : Min 2 yrs required
Job Tags:
alcohol banking capital raising children commercial real estate Disability Benefits equity FINRA health benefits Insurance Investment Banking lending regulatory compliance
Job Tags:
alcohol banking capital raising children commercial real estate Disability Benefits equity FINRA health benefits Insurance Investment Banking lending regulatory compliance

Title: Investment Banking Summer Associate Job Responsibilities: - Participate in a 10-week Summer Associate Program designed for MBA students between their first and second year. - Align with a product or industry group and contribute to active client engagements from the outset. - Engage...

Posted On Sep 02, 26
Full-time 1 views Experience : Min 15 yrs required
Practice Area:
Professional Liability Defense Insurance Defense - General Personal Injury Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities
Practice Area:
Professional Liability Defense Insurance Defense - General Personal Injury Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities

Title: Professional Liability Partner Job Responsibilities: - Defend professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Represent professionals either by direct engagement or through their insurance carrier, including but not limited to accountants, architects...

Attorney in Los Angeles, CA

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

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Posted On Sep 07, 26
Full-time 1 views Experience : Min 6 yrs required
Job Tags:
Affirmative Action Alternative Dispute Resolution child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse
Job Tags:
Affirmative Action Alternative Dispute Resolution child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Principal Analyst, Dispute Resolution Services Training Job Responsibilities: The Principal Analyst for Dispute Resolution Services (DRS) Training is tasked with the development, maintenance, and updating of training modules for key DRS regional job categories. Responsibilities include: - Training new regional hires. - Creating...

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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