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Finra Jobs in Gary

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United States
Posted On Sep 07, 26
Full-time 3 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 will play a pivotal role in supporting attorneys throughout various stages of fund formation, investor onboarding, and fund management. The responsibilities include: - Assisting attorneys with the formation and structuring of private investment...

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Posted On Aug 05, 26
Full-time 15 views Experience : 6-12 yrs required
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets corporate governance Domestic Violence due diligence family FINRA government affairs International Law lobbying M&A NASDAQ NYSE Partnership private equity Rule 144A Securities Securities and Capital Markets stock exchange Venture Capital Women
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets corporate governance Domestic Violence due diligence family FINRA government affairs International Law lobbying M&A NASDAQ NYSE Partnership private equity Rule 144A Securities Securities and Capital Markets stock exchange Venture Capital Women

Title: Senior Associate / Junior Partner – Securities & Capital Markets Job Responsibilities: The role involves engaging with the existing securities client base and contributing to the growth of the securities and capital markets practice. The candidate will have the opportunity to...

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Posted On Jun 01, 26
Full-time 4 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
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 high-quality work to larger, complex cases. Key responsibilities include: - Resolving non-complex enforcement matters through rigorous assessment and effective advocacy. - Executing a risk-based legal strategy...

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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
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 Enforcement Director is tasked with managing a team of 5-8 Enforcement attorneys, guiding the development and resolution of Enforcement cases from inception to completion. The Director ensures outcomes are backed by thorough factual findings within a...

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Posted On Sep 07, 26
Full-time 8 views Experience : Min 3 yrs required
Practice Area:
Criminal Law - Defense Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Banking & Finance Antitrust and Competition - Litigation and Investigations
Job Tags:
antitrust criminal derivatives FINRA Litigation Partnership Securities white collar
Practice Area:
Criminal Law - Defense Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Banking & Finance Antitrust and Competition - Litigation and Investigations
Job Tags:
antitrust criminal derivatives FINRA Litigation Partnership Securities white collar

services matters, including regulatory advice and disputes. The role involves: - Assisting with private litigation and enforcement matters involving the CFTC, SEC, FINRA, and securities and derivatives... exchanges. - Handling disputes over equities or derivatives trade practices and enforcement of...

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Posted On Sep 07, 26
Full-time 9 views Experience : Min 3 yrs required
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - Wage and Hour - Defense Employment Law - Wage and Hour - General Employment Law - General
Job Tags:
agreements Common Law Employee Discipline Employment Claims Employment Discrimination Employment Law employment litigation FINRA FLSA FMLA Human Resources Law Intellectual Property Labor and Employment licensing Litigation Severance wage and hour
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - Wage and Hour - Defense Employment Law - Wage and Hour - General Employment Law - General
Job Tags:
agreements Common Law Employee Discipline Employment Claims Employment Discrimination Employment Law employment litigation FINRA FLSA FMLA Human Resources Law Intellectual Property Labor and Employment licensing Litigation Severance wage and hour

Title: Assistant General Counsel - Human Resources Law Job Responsibilities: - Manage a docket of employment cases from pre-litigation through hearing/trial in various jurisdictions and forums. - Investigate allegations and oversee outside counsel in employment litigation matters. - Serve as a trusted advisor and...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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

Title: Senior Director, Market Strategy & Research Job Responsibilities: - Provide leadership in regulatory risk assessment and development of regulatory strategy to support Surveillance in achieving department goals. - Collaborate with the head of Surveillance Operations and senior management to conduct qualitative research...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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Posted On Jul 26, 26
Full-time
Job Tags:
Affirmative Action blockchain child Code of Conduct Cybersecurity domestic partner family FINRA fraud Insurance invention Money Laundering Securities spouse
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: The Senior Principal Investigator will serve as an expert in crypto assets, blockchains, smart contracts, and other on-chain technologies, addressing complex regulatory challenges. Key responsibilities include: - Leading investigations related to...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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Posted On Aug 12, 26
Full-time 1 views Experience : 3-7 yrs required
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, 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 Chicago, IL

Public Interest • **Members Only** Chicago, IL

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Posted On Aug 20, 26
Full-time 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
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 focused on mitigating crypto-related investor protection risks and ensuring adherence to market conduct...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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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 & Manage Investigations: Provide leadership, oversight, direction, and active day-to-day management of a team of investigators handling misconduct matters. Ensure investigations are thorough, strategically sound, and supported...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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Posted On Sep 01, 26
Full-time 1 views Experience : 5-10 yrs required
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
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 to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and facilitate interactions with internal and external parties. - Conduct risk monitoring activities, including those involving complex or...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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Posted On Jun 21, 26
Full-time 6 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 sophisticated risk assessments of member firms, including those with complex or elevated risks, with minimal supervision. - Analyze regulatory developments and market trends, providing actionable recommendations for senior leadership. - Collaborate with internal departments to...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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Posted On Jun 25, 26
Full-time 5 views Experience : Min 15 yrs required
Job Tags:
Affirmative Action artificial intelligence child Code of Conduct domestic partner emerging technologies family financial services regulation FINRA fraud Insurance invention Machine Learning Securities spouse
Job Tags:
Affirmative Action artificial intelligence child Code of Conduct domestic partner emerging technologies family financial services regulation FINRA fraud Insurance invention Machine Learning Securities spouse

Title: Executive Vice President, Risk & Intelligence Job Responsibilities: Strategic Leadership - Establish and execute the strategic vision for Risk and Intelligence as the organization's central hub for integrated risk assessment and intelligence operations. - Serve as a key advisor to executive leadership and...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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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
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, providing trusted advice on Enforcement and regulatory mission matters. - Exercise sound judgment and independent decision-making within delegated scope, establishing decision...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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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
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 Chicago, IL

Public Interest • **Members Only** Chicago, IL

Apply
Posted On Jul 26, 26
Full-time Experience : 5-10 yrs required
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: - Conduct high-complexity investigations into crypto asset activities of organization member firms and their associated persons. - Provide subject matter expertise to Regulatory Operations staff on crypto asset matters and...

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Posted On Aug 21, 26
Full-time 1 views Experience : Min 2 yrs required
Job Tags:
alcohol banking capital raising children commercial real estate Disability Benefits equity FINRA health benefits Insurance Investment Banking lending regulatory compliance
Job Tags:
alcohol banking capital raising children commercial real estate Disability Benefits equity FINRA health benefits Insurance Investment Banking lending regulatory compliance

Title: 2027 Investment Banking Summer Associate Job Responsibilities: As a Summer Associate in the Investment Banking sector, your responsibilities will encompass a variety of tasks designed to provide exposure and experience in the field. Key duties include: - Building valuation models and supporting...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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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
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: The Director, Emerging Technology Intelligence is responsible for leading a team within the Strategic Intelligence department of the organization, which is part of the Risk & Intelligence department. The role involves: - Serving...

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Attorney in Chicago, IL

Public Interest • **Members Only** Chicago, IL

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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
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 in Dispute Resolution Services (DRS) Training is responsible for a comprehensive range of training-related activities aimed at enhancing the skills and knowledge of DRS staff. Key responsibilities include: - Creating, maintaining,...

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