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Finra Jobs in Lancaster

7 jobs
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  3. South Carolina
  4. Lancaster
  5. Finra

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United States
Posted On Sep 08, 26
Full-time 8 views Experience : Min 10 yrs required
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Corporate - Compliance Corporate - Asset/Investment Management Finance - General Corporate - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management
Practice Area:
Finance - Financial Services Regulation Fintech & Blockchain Corporate - Compliance Corporate - Asset/Investment Management Finance - General Corporate - General
Job Tags:
civil litigation due diligence enforcement proceedings Financial Institutions FINRA health benefits hedge funds M&A NASDAQ private equity regulatory compliance securities laws stock options Venture Capital wealth management

Title: SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance Job Responsibilities: - Provide day-to-day legal support for the financial services business, including legal analysis and advice on compliance with applicable rules, regulations, and legal risks impacting brokerage and investment advisory activities. -...

Posted On Jul 29, 26
Full-time 4 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management

Title: Vice President, Assistant General Counsel Job Responsibilities: - Provide strategic legal advice concerning the onboarding, due diligence, sales, and ongoing controls related to Alternative Investments, Complex Products, and Digital Assets. - Support the broker-dealer business and investment advisory business. - Collaborate with teams...

Posted On Jul 30, 26
Full-time Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management

Title: VP, Wealth Management Alternative Investments Attorney Job Responsibilities: - Provide day-to-day legal support for the company's alternative investments platform, offering legal analysis and advice concerning compliance with applicable rules, regulations, and legal risks related to the brokerage and investment...

Posted On Aug 20, 26
Full-time 4 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

Title: VP, Assistant General Counsel - Brokerage Job Responsibilities: - Provide day-to-day legal support for the company's financial services business, including offering legal analysis and advice with respect to applicable rules, regulations, and legal risks related to the brokerage and investment...

Posted On Aug 20, 26
Full-time 2 views Experience : Min 8 yrs required
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - Financial Services Regulation Finance - General
Job Tags:
agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts

business of a broker-dealer, investment advisor, custodian, and record keeper. This includes regulatory developments from the Department of Labor (DOL), Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and state regulators. - ......

Posted On Aug 20, 26
Full-time 3 views Experience : Min 6 yrs required
Practice Area:
Government and Government Relations Government - General
Job Tags:
FINRA health benefits Securities stock options
Practice Area:
Government and Government Relations Government - General
Job Tags:
FINRA health benefits Securities stock options

examinations and inquiries from FINRA, the SEC, states, and... other SROs and regulators. This includes supporting the company's OCC-regulated affiliate and institutional partners in connection with bank and credit union regulatory examinations. - Evaluate legal, regulatory, operational, and reputational risks...

Posted On Sep 18, 26
Full-time 3 views Experience : 8-12 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security FINRA health benefits Privacy privacy laws regulatory compliance stock options
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security FINRA health benefits Privacy privacy laws regulatory compliance stock options

Title: VP, Assistant General Counsel, Cybersecurity Job Responsibilities: - Serve as the primary legal advisor on cybersecurity matters, providing strategic counsel on incident response, cybersecurity regulations, data security requirements, crisis management, and cyber governance activities. - Advise on legal and regulatory...

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