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Finra Jobs in Decatur

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United States
Posted On Aug 14, 26
Full-time 11 views Experience : Min 5 yrs required
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Finance - General Finance - Banking Corporate - General
Job Tags:
articles of incorporation contracts finance FINRA letters of intent limited liability companies Litigation Securities Software stock certificates UCC
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Finance - General Finance - Banking Corporate - General
Job Tags:
articles of incorporation contracts finance FINRA letters of intent limited liability companies Litigation Securities Software stock certificates UCC

Title: Paralegal - Business (Atlanta) Job Responsibilities: - Follow the ethical requirements set forth by the Rules of Professional Conduct of the applicable jurisdiction. - Clearly communicate in a concise (oral and written), professional manner. - Proactively provide support to attorneys...

Posted On Jul 21, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements conflict resolution contracts Corporate Law document review FINRA Investment Advisers Act of 1940 pleadings regulatory compliance Securities Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements conflict resolution contracts Corporate Law document review FINRA Investment Advisers Act of 1940 pleadings regulatory compliance Securities Securities Exchange Act of 1934 securities laws

Title: Associate Attorney Job Responsibilities: - Conduct legal research and draft various legal documents. - Maintain organized client files and assist with legal counsel. - Provide legal defense and compliance oversight for broker-dealers (BD) and registered investment advisers (RIA). - Advise clients on compliance with...

Posted On Aug 18, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - General
Job Tags:
agreements Capital Markets FINRA Investment Banking Mergers and Acquisitions Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - General
Job Tags:
agreements Capital Markets FINRA Investment Banking Mergers and Acquisitions Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws

Title: Legal Advisor - Investment Banking and Capital Markets Job Responsibilities: - Support the Investment Banking and Capital Markets business along with other related business units by providing legal support and advice on a wide variety of legal and regulatory matters. - Advise...

Posted On Sep 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - Compliance Corporate - M&A Corporate - Securities and Capital Markets Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - General
Practice Area:
Corporate - Compliance Corporate - M&A Corporate - Securities and Capital Markets Corporate - Technology Transactions Corporate - Asset/Investment Management Corporate - General

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: The Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel will be responsible for providing legal advice and strategic counsel on a wide range of matters involving prudential banking...

Posted On Jul 16, 26
Full-time Experience : 4-10 yrs required
Practice Area:
Professional Liability Defense Insurance Defense - General Insurance Coverage 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 Insurance Coverage Personal Injury Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities

Liability Attorney Job Title Professional Liability Attorney Job Responsibilities The primary responsibilities for the Professional Liability Attorney include: - Defending professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Conducting thorough research and legal writing to support case...

Posted On Aug 20, 26
Full-time
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

Liability Attorney Job Title Professional Liability Attorney Job Responsibilities The Professional Liability Attorney will be responsible for defending professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. The attorney will represent various professionals, either through direct engagement...

Posted On Aug 07, 26
Full-time 1 views Experience : 6-12 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts

Title: Attorney - Legal Department, Institutional Asset Management Job Responsibilities: - Provide legal support across the institutional asset management platform, working closely with investment portfolio managers, product teams, client onboarding teams, and business leaders. - Support investment advisory activities for various platforms including...

Posted On Sep 06, 26
Full-time 1 views Experience : 2-15 yrs required
Practice Area:
Insurance Defense - General Professional Liability Defense Personal Injury Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities
Practice Area:
Insurance Defense - General Professional Liability Defense Personal Injury Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities

Liability Attorney Job Title Professional Liability Attorney Job Responsibilities The primary responsibility of the Professional Liability Attorney is to defend professional liability claims. These claims may involve Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. The attorney...

Posted On Aug 18, 26
Full-time 29 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 - Atlanta: - Job Title: Wealth Advisor III - Location: Atlanta, Georgia, USA - Category: Wealth, Brokerage and Premier Banking - Employment Type: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States of...

Posted On Aug 18, 26
Full-time 4 views Experience : 10-12 yrs required
Job Tags:
banking Capital Markets Corporation Deferred Compensation due diligence equity FINRA Insurance pension
Job Tags:
banking Capital Markets Corporation Deferred Compensation due diligence equity FINRA Insurance pension

Title: Director Equity Research Analyst - Consumer Job Responsibilities: The Director Equity Research Analyst is responsible for creating and publishing proprietary equity research content focused on specific industries that align with the company's expertise in the banking sectors. The role involves making...

Posted On Jul 08, 26
Full-time 1 views Experience : 4-5 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
Media Women
Practice Area:
Data Privacy - Transactional
Job Tags:
Media Women

Title: AVP, Lead Assistant General Counsel, Internet Compliance Attorney Job Responsibilities: The AVP, Lead Assistant General Counsel, Internet Compliance Attorney is responsible for leading internet and social media compliance efforts across the organization. This mid- to senior-level role includes the following...

Posted On Jul 28, 26
Full-time Experience : 3-5 yrs required
Practice Area:
Litigation - Securities Litigation - Plaintiffs Litigation - Financial Services - Plaintiffs
Job Tags:
agreements closing documents Electronic Signatures ETFs FINRA Fraud Law Litigation Mutual Funds Securities securities litigation Software
Practice Area:
Litigation - Securities Litigation - Plaintiffs Litigation - Financial Services - Plaintiffs
Job Tags:
agreements closing documents Electronic Signatures ETFs FINRA Fraud Law Litigation Mutual Funds Securities securities litigation Software

Title: Litigation Paralegal / Senior Legal Assistant Job Responsibilities: - Serve as a primary point of contact for clients through telephone and email communications. - Gather, review, organize, and manage client documents to ensure all necessary information is readily accessible and accurately maintained. -...

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