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Finra Jobs in Colleyville

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United States
Posted On Sep 17, 26
Full-time 4 views Experience : 5-7 yrs required
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General
Job Tags:
criminal Employee Benefits Law ERISA finance FINRA government relations Immigration Investment Advisers Act of 1940 Legislation and Regulation LLC marketing Securities Securities Exchange Act of 1934 securities laws
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General
Job Tags:
criminal Employee Benefits Law ERISA finance FINRA government relations Immigration Investment Advisers Act of 1940 Legislation and Regulation LLC marketing Securities Securities Exchange Act of 1934 securities laws

Title: Attorney for Workplace Investing Legal Team Job Responsibilities: The role involves joining the legal team within the Workplace Investing (WI) division at the company. The primary responsibilities include: - Advising on defined contribution plan recordkeeping, administration, trust, and institutional business. - Assisting with...

Posted On Jun 26, 26
Full-time 13 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa

Title: Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management) Job Responsibilities: The Senior Counsel will be responsible for supporting the legal and regulatory aspects of distributing registered investment companies and private investment funds. The role involves working...

Posted On Sep 21, 26
Full-time 50 views Experience : Min 8 yrs required
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Advisor III - Dallas / Fort Worth: - High-level relationship advisor for high net worth and ultra-high net worth clients - Responsible for developing and deepening client relationships through needs-based, high-level client service - Offers the full suite of...

Posted On Aug 18, 26
Full-time 2 views
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Defense
Job Tags:
commercial litigation depositions FINRA Litigation securities litigation
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Defense
Job Tags:
commercial litigation depositions FINRA Litigation securities litigation

matters. - Represent clients in state and federal courts and arbitration forums, including FINRA and AAA. - Draft motions,... briefs, memoranda, and other litigation-related filings. - Participate in hearings, depositions, mediations, arbitrations, and court appearances. - Collaborate with attorneys and legal staff on co...

Posted On Sep 23, 26
Full-time 44 views Experience : 4-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - M&A
Job Tags:
agreements Capital Markets Copyright corporate governance FINRA M&A marketing Mergers and Acquisitions Securities securities laws stock purchase agreements
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - M&A
Job Tags:
agreements Capital Markets Copyright corporate governance FINRA M&A marketing Mergers and Acquisitions Securities securities laws stock purchase agreements

with leadership team. - Handle complex legal matters, including core business operations, capital markets and securities transactions, and corporate governance. - Draft and negotiate transaction agreements, marketing materials, and other legal documents. - Ensure compliance with SEC regulations, FINRA rules,...

Posted On Jul 13, 26
Full-time 2 views
Practice Area:
Administrative Law Government - General
Job Tags:
criminal employee benefits FINRA Investment Banking investment management Litigation Securities wealth management
Practice Area:
Administrative Law Government - General
Job Tags:
criminal employee benefits FINRA Investment Banking investment management Litigation Securities wealth management

inquiries from regulators and law enforcement at the state and federal level, including the SEC, FINRA, DOJ, and various state... agencies. - Collect and preserve documents and data from internal systems, departments, and clients for review, analysis, and production. This incl...

Posted On Aug 11, 26
Full-time 2 views Experience : 3-5 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
Job Tags:
agreements closing documents Electronic Signatures ETFs FINRA Fraud Law Litigation Mutual Funds Securities securities litigation Software
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
Job Tags:
agreements closing documents Electronic Signatures ETFs FINRA Fraud Law Litigation Mutual Funds Securities securities litigation Software

organize, and manage client documents. - Draft correspondence, engagement agreements, discovery, settlement documents, and other legal documents. - Prepare filings for FINRA arbitration, JAMS, AAA, and... other forums. - Maintain case files in electronic document management systems. - Coordinate electron...

Posted On Jul 13, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA fraud Government Investment Banking investment management Litigation Securities wealth management
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA fraud Government Investment Banking investment management Litigation Securities wealth management

Title: Vice President, Wealth Management Investigations Attorney Job Responsibilities: - Conduct and coordinate internal investigations involving potential employee misconduct, including serious violations of law or industry rules such as misappropriation, fraud, and insider trading, as well as internal violations of company policies. -...

Posted On Aug 07, 26
Full-time 19 views Experience : 3-7 yrs required
Practice Area:
Litigation - Securities Litigation - Defense
Job Tags:
Business Law depositions evidence FINRA Litigation Securities securities litigation
Practice Area:
Litigation - Securities Litigation - Defense
Job Tags:
Business Law depositions evidence FINRA Litigation Securities securities litigation

complex matters impacting the financial services landscape. - Handle sophisticated commercial, business, and securities litigation cases. - Represent commercial and securities clients in both state and federal courts, as well as various arbitration forums, including AAA and FINRA. - Draft persuasive, high-level mot......

Posted On Jul 07, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA wealth management
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA wealth management

Title: Senior Investigations Attorney Job Responsibilities: - Manage a docket of internal and regulatory enforcement investigations and inquiries for the Wealth Management business. - Conduct internal investigations involving potential employee misconduct. - Handle regulatory enforcement matters related to the company's broker-dealers, investment advisers, banks,...

Posted On Jul 13, 26
Full-time 2 views Experience : Min 10 yrs required
Practice Area:
Finance - Financial Services Regulation Administrative Law Finance - General Government - General
Job Tags:
employee benefits FINRA fraud Government Investment Banking investment management Litigation Securities wealth management
Practice Area:
Finance - Financial Services Regulation Administrative Law Finance - General Government - General
Job Tags:
employee benefits FINRA fraud Government Investment Banking investment management Litigation Securities wealth management

Title: Executive Director, Senior Wealth Management Investigations Attorney Job Responsibilities: The Executive Director, Senior Wealth Management Investigations Attorney at the company is tasked with managing a docket of internal and regulatory enforcement investigations and inquiries for the Wealth Management business segment. This...

Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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Posted On Aug 12, 26
Full-time 2 views
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 support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal...

Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

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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: - Lead and manage a team of investigators focusing on crypto-related fraud and market abuse within the securities industry. - Oversee investigations using both onchain techniques (such as blockchain analytics, smart contract...

Posted On Sep 21, 26
Full-time 36 views Experience : Min 8 yrs required
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Advisor III - Dallas / Fort Worth: - Available in 2 locations - Category: Wealth, Brokerage and Premier Banking - Posted Date: 08/28/2024 - Regular or Temporary: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States...

Posted On Sep 14, 26
Full-time 7 views Experience : 7-18 yrs required
Job Tags:
banking criminal Estate Planning estates FINRA Retirement Planning Taxation trusts wealth management wealth transfer
Job Tags:
banking criminal Estate Planning estates FINRA Retirement Planning Taxation trusts wealth management wealth transfer

Title: Wealth Strategist Job Description: Company is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. As one of the largest businesses of its kind in the world, it specializes in goals-based wealth management,...

Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

Apply
Posted On Jun 21, 26
Full-time 12 views
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 As a Principal Risk Monitoring Analyst at the organization, you will play a crucial role in maintaining the integrity of . securities markets by identifying emerging risks and assessing complex member firms. Your...

Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

Apply
Posted On Jul 05, 26
Full-time 2 views Experience : Min 12 yrs required
Job Tags:
Affirmative Action child Code of Conduct corporate compliance domestic partner family finance financial services regulation FINRA Government Insurance invention Litigation Media Securities special projects spouse
Job Tags:
Affirmative Action child Code of Conduct corporate compliance domestic partner family finance financial services regulation FINRA Government Insurance invention Litigation Media Securities special projects spouse

Title: Vice President, Enforcement Senior Advisor & Operations Job Responsibilities: - Serve as a strategic partner and thought leader to the EVP, acting as a trusted advisor on significant matters related to Enforcement and the organization's regulatory mission. - Exercise sound judgment and...

Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

Apply
Posted On Jul 26, 26
Full-time 1 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 serves as a strategic regulatory advisor and subject matter expert on market structure, market regulation, and Regulatory Services Agreement (RSA) matters. The role encompasses several...

Attorney in Dallas, TX

Public Interest • **Members Only** Dallas, TX

Apply
Posted On Jul 26, 26
Full-time
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: The Senior Principal Investigator in Crypto Asset Investigations is tasked with conducting high-complexity investigations into crypto asset activities of member firms and their associated persons. This role requires...

Posted On Aug 12, 26
Full-time 9 views Experience : 2-13 yrs required
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Plaintiffs
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Plaintiffs

OverviewA law firm seeks a skilled Commercial and Securities Litigation Associate Attorney to join their team in Dallas, TX. This role offers the opportunity to work on high-stakes, complex litigation matters within a supportive and dynamic with top litigators...

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