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Finra Jobs in Fremont

6 jobs
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  3. California
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  5. Finra

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United States
Posted On Sep 14, 26
Full-time 20 views Experience : Min 12 yrs required
Job Tags:
asset management banking credit facilities criminal FINRA private client shareholders
Job Tags:
asset management banking credit facilities criminal FINRA 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...

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 plays an essential role in supporting attorneys throughout various stages of fund formation, investor onboarding, and fund management. This position requires a strong understanding of private fund structures and documentation. Key responsibilities...

Posted On Jul 06, 26
Full-time 3 views Experience : 5-7 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Contract Law Corporate - General
Job Tags:
agreements cryptocurrency equity estates Ethics finance financial products FINRA Government health insurance Insurance Litigation marketing Privacy Securities Securities Exchange Act of 1934 trusts
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Contract Law Corporate - General
Job Tags:
agreements cryptocurrency equity estates Ethics finance financial products FINRA Government health insurance Insurance Litigation marketing Privacy Securities Securities Exchange Act of 1934 trusts

necessary changes to the company's systems and procedures to comply with new rules or guidance from regulators. - Engage with regulators, including the SEC and FINRA, and other external parties. -... Draft agreements, policies and procedures, disclosures, account documentation, and website mat...

Posted On Jul 17, 26
Full-time 2 views Experience : 5-7 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
agreements cryptocurrency equity estates Ethics finance financial products FINRA Government health insurance Insurance Litigation marketing Privacy Securities Securities Exchange Act of 1934 trusts
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
agreements cryptocurrency equity estates Ethics finance financial products FINRA Government health insurance Insurance Litigation marketing Privacy Securities Securities Exchange Act of 1934 trusts

Identify and draft necessary changes to the company's systems and procedures to comply with new rules and regulations. - Engage with regulators, including the SEC and FINRA, and other external parties. -... Draft agreements, policies, procedures, disclosures, account documentation, and website m...

Posted On Jul 07, 26
Full-time 1 views Experience : Min 7 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
Ethics finance FINRA Government Securities Exchange Act of 1934 securities laws
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
Ethics finance FINRA Government Securities Exchange Act of 1934 securities laws

Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide practical, strategic, and proactive legal advice to business and compliance leaders on a broad range of regulatory matters, with a focus on broker-dealer and investment adviser regulations. - Respond to and manage regulatory inquiries...

Posted On Aug 31, 26
Full-time 1 views Experience : 5-7 yrs required
Practice Area:
Government and Government Relations Administrative Law Government - General
Job Tags:
agreements AML data privacy ETFs Financial Institutions financial products FinCEN FINRA health benefits hedge funds Litigation marketing Money Laundering OFAC Privacy Securities Exchange Act of 1934 securities laws stage startup stock options
Practice Area:
Government and Government Relations Administrative Law Government - General
Job Tags:
agreements AML data privacy ETFs Financial Institutions financial products FinCEN FINRA health benefits hedge funds Litigation marketing Money Laundering OFAC Privacy Securities Exchange Act of 1934 securities laws stage startup stock options

Counsel Job Responsibilities - Navigate complex regulatory frameworks to help the business design and implement innovative financial products and services. - Lead legal reviews of product design, marketing, and customer onboarding processes to ensure compliance with applicable regulations while enabling business growth. - Support...

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