Legal Finra Jobs Jobs in Fulton, MD

Corporate - Compliance Attorney / Corporate - General Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Jun 01, 26

Full-time 11 views Experience : Min 6 yrs required

Practice Area:

Corporate - Compliance Corporate - General

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 responsible for resolving non-complex enforcement matters and contributing to larger, more complex cases. Key responsibilities include: - Resolving non-complex enforcement matters with a rigorous assessment and effective advocacy. - Executing a...

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Administrative Law Attorney / Government - General Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 25, 26

Full-time 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 of Enforcement is responsible for managing a team of 5-8 Enforcement attorneys. This role involves overseeing the development and resolution of Enforcement cases through all stages, from inception to completion. The Director is tasked with...

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Government and Government Relations Attorney / Administrative Law Attorney / Government / Public Law Attorney / Government - General Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Jul 10, 26

Full-time 1 views Experience : Min 6 yrs required

Practice Area:

Government and Government Relations Administrative Law Government / Public Law Government - 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 provides legal advice and support throughout the life cycle of new regulatory initiatives and acts as a subject matter resource in specific areas of...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Jul 26, 26

Full-time 1 views

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: - Serve as an expert in crypto assets, blockchains, smart contracts, and other onchain technologies, addressing complex regulatory challenges. - Conduct investigations into money laundering, onchain vulnerabilities, cybersecurity incidents, fraud, and...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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 responsible for leading a team of investigators focused on detecting, investigating, and mitigating crypto-related fraud and market abuse within the...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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: The Director of the Crypto Exam and Regulatory Conduct team is tasked with leading a team of investigators focusing on crypto-related investor protection risks, market conduct rules, and regulatory obligations. The...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Sep 01, 26

Full-time

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 findings to... a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engage with both internal and external parties. - Handle risk monitoring activities, including complex or elevated...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Jun 07, 26

Full-time 5 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention regulatory compliance Securities Securities Exchange Act of 1934 special projects spouse

Title: Strategic Advisor, Market and Regulatory Services Job Responsibilities: - Act as a strategic thought partner within an assigned Market and Regulatory Services (MRS) line of business, offering counsel on business initiatives, strategic planning, risk management, policy, and processes to...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Jun 10, 26

Full-time 6 views Experience : Min 10 yrs required

Job Tags:

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

Title: Senior Director, Market Strategy & Research Job Responsibilities: The Senior Director, Market Strategy & Research is tasked with providing critical leadership in assessing regulatory risks and developing regulatory strategies. Key responsibilities include: - Collaborating with the head of Surveillance Operations and senior...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Jun 21, 26

Full-time 9 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 sophisticated risk assessments of member firms, including those with complex or elevated risks, with minimal supervision. - Drive strategic intelligence by analyzing regulatory developments and market trends, and translating them into actionable recommendations for...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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

Title: Vice President, Enforcement Senior Advisor & Operations Job Responsibilities: The Vice President, Enforcement Senior Advisor & Operations is a senior leadership role reporting directly to the Executive Vice President (EVP) of Enforcement. This position is crucial for shaping the strategic direction...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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 Rockville, MD

Public Interest • **Members Only** Rockville, MD

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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. This role...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 19, 26

Full-time 1 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 Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 19, 26

Full-time 1 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct cryptocurrency domestic partner equity family finance FINRA fraud Insurance invention Securities spouse

Title: Director, Transparency Services Equities Job Responsibilities: Market Strategy & Product Leadership: - Owns the P&L and business operations for the organization's OTC Equity products and facilities. - Analyzes market and industry trends to propose and prioritize product development strategies, balancing market needs with...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 31, 26

Full-time Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse

Title: Director, Emerging Technology Intelligence Job Responsibilities: - Serve as a senior partner to internal and external stakeholders, leading cross-departmental efforts to identify emerging threats and drive intelligence-driven initiatives with measurable impact on Strategic Intelligence results. - Lead a team of intelligence analysts...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Sep 08, 26

Full-time Experience : Min 6 yrs required

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 is tasked with creating, maintaining, and updating training modules specifically tailored for key Dispute Resolution Services (DRS) regional job categories. - Responsible for training new regional hires and delivering just-in-time,...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Sep 08, 26

Full-time Experience : Min 12 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse

Title: Senior Director, Trading and Product Risk Intelligence Job Responsibilities: The Senior Director, Trading and Product Risk Intelligence, plays a pivotal role in overseeing and guiding strategic and tactical intelligence efforts within the organization's Risk & Intelligence department. The role involves...

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Corporate - Securities and Capital Markets Attorney / Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Bethesda, MD

In-House • **Members Only** Bethesda, MD

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Posted On Aug 12, 26

Full-time 2 views Experience : Min 12 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General

Job Tags:

1940 Act acquisitions agreements asset management corporate transactions derivatives ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC mergers Mutual Funds Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934 Transportation underwriters

Title: Senior Regulatory Counsel (Securities) Job Responsibilities: - Deliver timely, pragmatic, and business-oriented legal counsel to senior management and across all levels of the organization. - Identify and evaluate legal and business risks to support strategic decision-making. - Work closely with internal business teams...

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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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