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Finra Jobs in Kearny

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United States
Posted On Jul 16, 26
Full-time 9 views Experience : Min 7 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 Associate Attorney Job Title Professional Liability Associate Attorney Job Responsibilities The Professional Liability Associate Attorney will be responsible for defending professional liability claims. The scope of work involves representing a diverse clientele, including but not limited to: - Directors &...

Posted On Aug 20, 26
Full-time 8 views Experience : Min 8 yrs required
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
Domestic Violence due diligence equity FINRA growth equity health benefits hedge funds Insurance investment management life sciences marketing Partnership private equity regulatory compliance Securities stalking
Practice Area:
Corporate - Asset/Investment Management
Job Tags:
Domestic Violence due diligence equity FINRA growth equity health benefits hedge funds Insurance investment management life sciences marketing Partnership private equity regulatory compliance Securities stalking

Title: Marketing & Distribution Compliance, VP Job Responsibilities: The Marketing & Distribution Compliance, VP is a pivotal role within the compliance team, focusing on regulatory compliance issues related to marketing and other investor/third-party materials and communications. The VP is tasked with serving...

Posted On Aug 25, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Administrative Law Government / Public Law Government - General Government and Government Relations
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 / Public Law Government - General Government and Government Relations
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, overseeing the development and resolution of enforcement cases from inception to completion. The Director ensures that all cases are supported by complete, accurate,...

Posted On Aug 11, 26
Full-time 4 views Experience : 8-15 yrs required
Practice Area:
Bankruptcy – Restructuring (Chap. 11) Bankruptcy-General Finance - Financial Services Regulation Finance - General
Job Tags:
banking Bankruptcy family Financial Restructuring FINRA FLSA Insolvency Insurance licensing pension restructuring Securities title
Practice Area:
Bankruptcy – Restructuring (Chap. 11) Bankruptcy-General Finance - Financial Services Regulation Finance - General
Job Tags:
banking Bankruptcy family Financial Restructuring FINRA FLSA Insolvency Insurance licensing pension restructuring Securities title

Executive Director, Associate General Counsel Job Responsibilities: The Executive Director, Associate General Counsel serves as a senior legal advisor supporting legal and regulatory matters impacting the financial market infrastructure businesses of the company. This role involves addressing issues related to risk management,...

Posted On Sep 15, 26
Full-time 2 views Experience : Min 8 yrs required
Practice Area:
Finance - Financial Services Regulation
Job Tags:
asset management banking equity finance Financial Institutions FINRA Government Investment Banking licensing marketing regulatory compliance securities laws special projects UDAAP wealth management
Practice Area:
Finance - Financial Services Regulation
Job Tags:
asset management banking equity finance Financial Institutions FINRA Government Investment Banking licensing marketing regulatory compliance securities laws special projects UDAAP wealth management

Title: Assistant General Counsel - Wealth Management - Vice President Job Responsibilities: - Serve as a primary legal contact supporting the company’s wealth management bank-based sales channel for the retail investment business. - Act as legal counsel for banking products distributed through the...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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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
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 in Crypto Asset Investigations serves as an expert in the organization, applying specialized knowledge of crypto assets, blockchains, smart contracts, and other onchain technologies...

Attorney in Jersey City, NJ

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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 SEC, and other regulatory bodies. - Provide expert guidance...

Attorney in Jersey City, NJ

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Posted On Aug 11, 26
Full-time
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, utilizing independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms and coordinate with specialists and...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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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: The Director of the Crypto Fraud & Market Abuse team is tasked with the leadership and management of a specialized group of investigators focused on identifying, investigating, and mitigating...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Sep 22, 26
Full-time 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: Director, Market Strategy & Research Job Responsibilities: The Director, Market Strategy & Research is responsible for leading proactive regulatory risk assessments and developing regulatory strategies. The role involves conducting continuous qualitative research into market conditions and developments and managing an analyst...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Jun 21, 26
Full-time 12 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: As a Principal Risk Monitoring Analyst within the organization, you will play a critical role in ensuring the integrity and protection of . securities markets. Your primary responsibilities include: - Lead Risk Assessments: Conduct sophisticated risk...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Jul 26, 26
Full-time 2 views
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: The Senior Principal Investigator in Crypto Asset Investigations is responsible for conducting high-complexity investigations into crypto asset activities of organization member firms and their associated persons. This role involves...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Aug 12, 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
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: 1. Market Strategy & Product Leadership: - Own the P&L and business operations for the organization's OTC Equity products and facilities. - Analyze market and industry trends to develop and prioritize product development strategies, aligning...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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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
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 crypto-related investor protection risks, market conduct rules, and regulatory obligations. Key...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Aug 31, 26
Full-time 1 views 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 plays a crucial role within the Strategic Intelligence team of the Risk & Intelligence department at the organization. The primary responsibilities of the Director include: - Serving as a...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Sep 01, 26
Full-time 1 views Experience : 3-7 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

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting the direct manager in interactions with internal and external parties. - Conduct...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Sep 08, 26
Full-time 1 views 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
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: - Serve as a senior strategic partner to internal and external stakeholders, providing guidance on cross-departmental efforts to identify emerging threats and drive intelligence-led initiatives with measurable impact across the...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Sep 15, 26
Full-time 1 views Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Title: Vice President, Strategic and Threat Intelligence Job Responsibilities: 1. Strategic Planning, Leadership, and Stakeholder Engagement: - Serve as a key member of senior management and a strategic advisor to business stakeholders, providing leadership and direction on regulatory oversight, emerging risks, and...

Attorney in Jersey City, NJ

Public Interest • **Members Only** Jersey City, NJ

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Posted On Sep 15, 26
Full-time 2 views Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Title: Vice President, Trading and Product Risk Intelligence Job Responsibilities: - Serve as a key member of senior management and strategic advisor to business stakeholders, providing critical leadership and strategic direction on regulatory oversight, emerging risks, and intelligence-driven initiatives. - Drive strategic discussions,...

Posted On Jul 14, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Finance - Banking
Job Tags:
Affirmative Action AML bank lending banking Broker Dealer Capital Markets corporate governance Cybersecurity Data Protection derivatives developers employee benefits equity finance FINRA Investment Banking lending Litigation project finance Securities securities laws Visa
Practice Area:
Corporate - Securities and Capital Markets Finance - Banking
Job Tags:
Affirmative Action AML bank lending banking Broker Dealer Capital Markets corporate governance Cybersecurity Data Protection derivatives developers employee benefits equity finance FINRA Investment Banking lending Litigation project finance Securities securities laws Visa

Title: Legal Counsel Job Responsibilities: - Provide legal support to the Corporate & Investment Banking Group (CIB) of the company, including the New York branch and Houston representative office, as well as its SEC-registered broker dealer. - Counsel on legal and regulatory issues,...

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