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Finra Jobs in Lakewood

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Posted On Jul 07, 26
Full-time 1 views Experience : Min 2 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
company policies corporate governance directors employee benefits equity finance FINRA Privacy SEC filings Securities Software
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
company policies corporate governance directors employee benefits equity finance FINRA Privacy SEC filings Securities Software

Title: Securities and Compliance Paralegal Job Responsibilities: The Securities and Compliance Paralegal will support the Legal Department at the company. This role involves a variety of responsibilities centered around SEC reporting, Section 16 compliance, corporate governance, stock administration, insider trading compliance, and...

Posted On Aug 25, 26
Full-time 2 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
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 who are responsible for developing and resolving enforcement cases from inception to completion. The Director oversees a diverse docket of cases, ensuring each outcome...

Posted On Sep 23, 26
Full-time 45 views Experience : 3-5 yrs required
Practice Area:
Litigation - Labor & Employment Litigation - Securities Litigation - Defense Employment Law - General
Job Tags:
Business Law commercial litigation FINRA Labor and Employment Litigation Natural Resources securities litigation shareholders
Practice Area:
Litigation - Labor & Employment Litigation - Securities Litigation - Defense Employment Law - General
Job Tags:
Business Law commercial litigation FINRA Labor and Employment Litigation Natural Resources securities litigation shareholders

with various other motions. - Engage in forums including state (primarily Colorado) and federal courts, as well as arbitration forums such as JAG, JAMS, and FINRA. - Conduct minor trial and... deposition examinations. - Review and summarize deposition testimony. - Handle subject matters...

Posted On Sep 23, 26
Full-time 47 views Experience : 8-10 yrs required
Practice Area:
Litigation - Securities Litigation Litigation - Labor & Employment Employment Law - Litigation Employer Defense Employment Law - General
Job Tags:
Business Law civil litigation depositions FINRA Labor and Employment Litigation Natural Resources securities litigation shareholders trials
Practice Area:
Litigation - Securities Litigation Litigation - Labor & Employment Employment Law - Litigation Employer Defense Employment Law - General
Job Tags:
Business Law civil litigation depositions FINRA Labor and Employment Litigation Natural Resources securities litigation shareholders trials

discovery management, depositions, trial preparation, and trial practice. - Work in state (primarily Colorado) and federal courts, and arbitration forums such as AAA, JAG, JAMS, and FINRA. - Appear in court and... assist in developing business. - Handle legal matters that include...

Posted On Jun 18, 26
Full-time 10 views Experience : 2-8 yrs required
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Plaintiffs
Job Tags:
Business Law commercial litigation FINRA Labor and Employment Litigation Natural Resources securities litigation shareholders
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Plaintiffs
Job Tags:
Business Law commercial litigation FINRA Labor and Employment Litigation Natural Resources securities litigation shareholders

Rule 56 motions, along with various other motions. - Engage in forums, including state (primarily Colorado) and federal courts, as well as arbitration forums such as JAG, JAMS, and FINRA. - Conduct minor trial and... deposition examinations. - Review and summarize deposition test...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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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

interpret complex regulatory developments related to market structure and market regulation from exchanges, FINRA, the SEC, and other... regulatory bodies. - Provide expert guidance to senior leadership on the operational, strategic, and policy implications of new and emerging regulatory requirements. - Di...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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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 focusing on crypto-related investor protection risks, market conduct rules, and regulatory obligations. The...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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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 leading a team of investigators focused on the detection, investigation, and mitigation of crypto-related fraud and market abuse...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Aug 31, 26
Full-time 2 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, a part of the Risk & Intelligence organization. This position involves providing leadership to a team of analysts who are tasked...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Jun 21, 26
Full-time 7 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: As a Principal Risk Monitoring Analyst at the organization, you will be a vital part of safeguarding the integrity of the . securities markets. The role involves identifying emerging risks, assessing complex member firms, and...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Jul 02, 26
Full-time 3 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 of Enforcement, providing trusted advice on significant matters impacting Enforcement and the organization's regulatory mission. - Exercise sound judgment and decision-making...

Posted On Jul 16, 26
Full-time 1 views Experience : Min 7 yrs required
Job Tags:
banking Code of Conduct Commercial Lending financial products FINRA investment management wealth management
Job Tags:
banking Code of Conduct Commercial Lending financial products FINRA investment management wealth management

Title Key Private Bank Sr. Relationship Manager Job Responsibilities - Acts as the primary client advisor by recommending banking, borrowing, and investment solutions to help clients achieve their financial goals. - Leads, coordinates, and assembles the extended advisory team, including...

Posted On Jul 16, 26
Full-time Experience : Min 7 yrs required
Job Tags:
banking Code of Conduct Commercial Lending financial products FINRA investment management wealth management
Job Tags:
banking Code of Conduct Commercial Lending financial products FINRA investment management wealth management

Title: **Members Only,** Sr. Relationship Manager Job Responsibilities: - Serve as the primary client advisor, recommending banking, borrowing, and investment solutions tailored to clients’ financial goals. - Lead and coordinate the extended advisory team, including trust, investment, and planning strategists, based on the complexity...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Jul 26, 26
Full-time 1 views Experience : Min 5 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...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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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: - Independently lead investigations specific to tokenized securities and other crypto asset activities of organization member firms and associated persons. - Timely documentation of investigative strategies, findings, and results; provide recommendations...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Aug 12, 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
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...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Aug 31, 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 driving intelligence-led initiatives with measurable impact across the organization. - Provide...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Aug 31, 26
Full-time 2 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, Financial Crimes Intelligence Job Responsibilities: The Director, Financial Crimes Intelligence plays a crucial role in the Strategic Intelligence team within the Risk & Intelligence department at the organization. This role involves: - Serving as a senior partner to both internal and...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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Posted On Sep 01, 26
Full-time 1 views Experience : 3-5 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 with minimal supervision from a Risk Monitoring Director or designee. - Collaborate with...

Attorney in Denver, CO

Public Interest • **Members Only** Denver, CO

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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, offering guidance on cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the organization. - Provide...

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