Legal Finra Jobs Jobs in Falls Church, VA

Attorney in Mc Lean, VA

In-House • **Members Only** Mc Lean, VA

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Posted On Aug 18, 26

Full-time 18 views Experience : 8-8 yrs required

Job Tags:

banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management

Title: Wealth Advisor III Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth wealth clients. - Develop and deepen client relationships through needs-based, high-level client service and delivery of the full suite of wealth solutions. -...

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Administrative Law Attorney / Government - General Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Aug 25, 26

Full-time 1 views Experience : Min 10 yrs required

Practice Area:

Administrative Law 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 tasked with managing a team of 5-8 Enforcement attorneys who develop and resolve Enforcement cases through all stages, from inception to completion. The Director oversees a large and diverse docket of cases, ensuring...

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Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Jun 01, 26

Full-time 9 views Experience : Min 6 yrs required

Practice Area:

Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.)

Job Tags:

Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse

Title: Counsel, Enforcement Job Responsibilities: The Enforcement Counsel is tasked with resolving non-complex enforcement matters and contributing significant work towards large, complex cases. Key responsibilities include: - Resolving non-complex enforcement matters through rigorous assessment and effective advocacy. - Executing risk-based...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Aug 12, 26

Full-time 4 views

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, exercising independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Aug 20, 26

Full-time 1 views 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

Title: Director, Investigations - Crypto Exam and Regulatory Conduct Job Responsibilities: - Lead & Manage Investigations: Oversee a team of investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory obligations. Ensure investigations are thorough, strategically sound, and supported by...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Aug 20, 26

Full-time 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

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: The Director of the Crypto Fraud & Market Abuse team is tasked with leading a proficient team of investigators focusing on detecting, investigating, and mitigating crypto-related fraud and market abuse within...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Jun 21, 26

Full-time 9 views Experience : 5-10 yrs required

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 assume a critical role in ensuring the integrity of . securities markets. Your responsibilities will encompass: - Leading sophisticated risk assessments of member firms, particularly...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Jul 26, 26

Full-time 1 views Experience : 3-5 yrs required

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 related to tokenized securities and other crypto asset activities of organization member firms and associated persons. - Document investigative strategies, findings, and results in a timely manner...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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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

Title: Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job Responsibilities: Regulatory Intelligence & Strategic Advisory: - Monitor, analyze, and interpret complex regulatory developments related to market structure and market regulation from exchanges, the organization, the SEC, and other regulatory bodies. - Provide...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Jul 26, 26

Full-time 1 views Experience : 5-10 yrs required

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 (CAI) is responsible for conducting high-complexity investigations into crypto asset activities of organization member firms and their associated persons. The role...

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Legal Staff Paralegal in Washington, DC (Remote)

Law Firm • **Members Only** Washington, DC

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Posted On Sep 03, 26

Full-time 14 views Experience : Min 5 yrs required

Practice Area:

Corporate - M&A Corporate - Securities and Capital Markets

Job Tags:

acquisitions Capital Markets closing documents due diligence equity FINRA Insurance IPO life sciences mergers startup stock exchange Venture Capital

Title: Senior Corporate Paralegal Job Responsibilities: The Senior Corporate Paralegal will focus on Capital Markets, Startups, and Mergers & Acquisitions. The position requires: - Capital Markets and Public Companies: Handling IPO and public company matters, including creating registration statement numerical backup spreadsheets, managing...

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Legal Staff Paralegal in Washington, DC

Law Firm • **Members Only** Washington, DC

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Posted On Sep 03, 26

Full-time 23 views Experience : Min 3 yrs required

Practice Area:

Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A

Job Tags:

acquisitions Capital Markets closing documents due diligence emerging technologies Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital

Title: Mid-Level Corporate Paralegal Job Responsibilities: The Mid-Level Corporate Paralegal will focus on tasks related to Startups, Capital Markets, and Mergers & Acquisitions. Key responsibilities include: - For Startups: - Incorporating technology and life sciences companies. - Managing...

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Legal Staff Paralegal in Washington, DC

Law Firm • **Members Only** Washington, DC

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Posted On Sep 03, 26

Full-time 12 views Experience : Min 3 yrs required

Practice Area:

Corporate - Securities and Capital Markets

Job Tags:

Capital Markets closing documents emerging technologies FINRA Insurance stock exchange

Title: Mid-Level Capital Markets & Public Companies Paralegal Job Responsibilities: The Mid-Level Corporate Paralegal will be responsible for managing a variety of tasks related to Capital Markets and Public Companies. Key duties include: - Handling matters related to Initial Public Offerings (IPOs) and...

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Legal Staff Paralegal in Washington, DC

Public Interest • **Members Only** Washington, DC

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Posted On Jun 09, 26

Full-time 9 views Experience : Min 3 yrs required

Practice Area:

Corporate - Compliance Corporate - General

Job Tags:

Affirmative Action child Code of Conduct corporate governance domestic partner family FINRA Insurance invention Partnership Securities securities laws spouse

Title: Specialist, Corporate Governance Job Responsibilities: - Conduct comprehensive legal and regulatory research on corporate governance practices and procedures. - Synthesize complex findings into authoritative research summaries and policy recommendations for internal and external requests. - Draft and proofread all deliverables to ensure documentation...

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Legal Staff Paralegal in Washington, DC

Law Firm • **Members Only** Washington, DC

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Posted On Sep 07, 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

Title: Private Funds Paralegal Job Responsibilities: The Private Funds Paralegal will support attorneys in various stages of fund formation and management, focusing on private investment funds. Key responsibilities include: - Assisting with the formation and structuring of private investment funds, including limited partnerships...

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Legal Staff Paralegal in Washington, DC

In-House • **Members Only** Washington, DC

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Posted On Sep 07, 26

Full-time 2 views Experience : Min 8 yrs required

Practice Area:

Corporate - General Corporate - Compliance

Job Tags:

acquisitions artificial intelligence Contractual Obligations corporate governance Corporate Law corporate transactions equity finance FINRA Genetics Government Insurance Litigation lobbying restructuring Securities Software title

Senior Corporate Paralegal Job Responsibilities: The Senior Corporate Paralegal at the company is tasked with providing comprehensive support to the Global Legal & Compliance team. Key responsibilities include: - Supporting corporate governance activities such as maintaining corporate records, minute books, managing subsidiaries, preparing...

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Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Washington, DC

In-House • **Members Only** Washington, DC

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Posted On Aug 17, 26

Full-time 20 views Experience : 6-10 yrs required

Practice Area:

Corporate - Asset/Investment Management Finance - Financial Services Regulation

Job Tags:

40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title

Title Senior Counsel Job Responsibilities - Serve as a senior legal advisor to a registered investment adviser that sub-advises private credit funds, including funds registered under the Investment Company Act of 1940. - Provide primary legal support on matters arising...

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Government and Government Relations Attorney / Government / Public Law Attorney / Administrative Law Attorney / Corporate - Securities and Capital Markets Attorney / Government - General Attorney / Corporate - General Attorney in Washington, DC

Public Interest • **Members Only** Washington, DC

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Posted On Jul 09, 26

Full-time 3 views Experience : Min 6 yrs required

Practice Area:

Government and Government Relations Government / Public Law Administrative Law Corporate - Securities and Capital Markets Government - General Corporate - General

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Principal Counsel, Regulatory Job Responsibilities: The Principal Counsel in the Office of General Counsel (OGC), Regulatory Policy, is responsible for providing legal advice and support throughout the life cycle of new regulatory initiatives. This role serves as a subject matter resource...

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Corporate - Securities and Capital Markets Attorney / Corporate - Compliance Attorney / Corporate - General Attorney in Washington, DC

Public Interest • **Members Only** Washington, DC

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Posted On Jul 10, 26

Full-time 3 views Experience : Min 6 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General

Job Tags:

Affirmative Action child Code of Conduct domestic partner family Financial Industry Regulatory Authority FINRA Insurance invention Securities spouse Trademark

Title: Principal Counsel in Office of General Counsel (OGC), Regulatory Policy Job Responsibilities: The Principal Counsel in the Office of General Counsel (OGC), Regulatory Policy at the organization is tasked with providing legal advice and support throughout the life cycle of new...

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Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Washington, DC

In-House • **Members Only** Washington, DC

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Posted On Jul 12, 26

Full-time 2 views Experience : 5-8 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - General

Job Tags:

agreements AML Bank Secrecy Act Capital Markets equity Ethics family FCPA FINRA high yield Insurance lending licensing OFAC pension public offerings Securities securities laws stage

Title: Senior Corporate Counsel - Securities Capital Markets Job Responsibilities: The Senior Corporate Counsel will join the Capital Markets Legal Team, providing legal support to the Global Capital Markets (GCM) business line, including the Debt Capital Markets Group and other related business...

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