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Finra Jobs in Larkspur

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United States
Posted On Sep 03, 26
Full-time 8 views Experience : Min 3 yrs required
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
acquisitions Capital Markets closing documents due diligence emerging technologies Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
acquisitions Capital Markets closing documents due diligence emerging technologies Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital

Title: Mid-Level Corporate Paralegal Job Responsibilities: The Mid-Level Corporate Paralegal at the law firm will be primarily responsible for supporting the legal team in areas focused on Startups, Capital Markets, and Mergers & Acquisitions. The responsibilities include: Startup (required): - Incorporating technology and life...

Posted On Sep 03, 26
Full-time 42 views Experience : Min 5 yrs required
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions Capital Markets closing documents due diligence equity FINRA Insurance IPO life sciences mergers startup stock exchange Venture Capital
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions Capital Markets closing documents due diligence equity FINRA Insurance IPO life sciences mergers startup stock exchange Venture Capital

anticipated start date for this position is as soon as possible. H1: Senior Corporate Paralegal - Law Firm H2: Hybrid Schedule, Startup, M&A, Capital Markets Experience Job Title: Senior Corporate Paralegal - Hybrid Schedule, Startup, M&A,...

Posted On Sep 18, 26
Full-time Experience : Min 8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange

Title: Capital Markets Group Paralegal Job Responsibilities: As a Capital Markets Group Paralegal, your role is to support the delivery of quality legal services to clients through a variety of technical and detailed tasks. Your primary responsibilities include: - Managing complex projects independently...

Posted On Aug 11, 26
Full-time 1 views Experience : Min 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Contract Law Corporate - General Real Estate - Finance Real Estate- Commercial Transactions Real Estate - General
Job Tags:
agreements commercial real estate contracts developers EB-5 escrow FINRA Immigration marketing marketing agreements private equity Securities special projects USCIS
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Contract Law Corporate - General Real Estate - Finance Real Estate- Commercial Transactions Real Estate - General
Job Tags:
agreements commercial real estate contracts developers EB-5 escrow FINRA Immigration marketing marketing agreements private equity Securities special projects USCIS

We are seeking an organized, detail-oriented, and experienced paralegal to join our legal team. This role is crucial for assisting with legal and compliance matters related to existing and new real estate investment funds. The candidate will be part of...

Posted On Sep 18, 26
Full-time 2 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 crucial role in supporting attorneys within the Private Fund Practice of the Technology Companies Group at the law firm. The responsibilities include: - Assisting attorneys with the formation and structuring...

Posted On Sep 14, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets closing documents emerging technologies FINRA Insurance stock exchange
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets closing documents emerging technologies FINRA Insurance stock exchange

Title: Senior Capital Markets & Public Companies Paralegal Job Responsibilities: The Senior Capital Markets & Public Companies Paralegal is responsible for managing matters related to capital markets and public companies. Key responsibilities include: - Handling IPOs and public company operations. - Preparing registration statement...

Posted On Aug 07, 26
Full-time 3 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
banking Energy equity finance FINRA Investment Company Act LLC marketing Securities stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
banking Energy equity finance FINRA Investment Company Act LLC marketing Securities stock options

Title: Senior Product & Regulatory Counsel - Investment Products Job Responsibilities: - Own the investment products portfolio by serving as the primary legal advisor for Mercury Treasury and Mercury Invest, which are products that provide business and consumer customers access to non-deposit...

Posted On Sep 14, 26
Full-time 5 views Experience : Min 10 yrs required
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Fintech & Blockchain Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements banking contracts equity family FINRA Harassment Investment Company Act regulatory compliance Securities securities laws startup Venture Capital venture funds
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Fintech & Blockchain Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements banking contracts equity family FINRA Harassment Investment Company Act regulatory compliance Securities securities laws startup Venture Capital venture funds

Title General Counsel Job Responsibilities - Lead, manage, and continue building a multidisciplinary legal and compliance team. - Analyze legal issues through risk assessment, risk management, and pragmatic decision-making lenses, providing actionable solutions rather than merely identifying areas of potential legal...

Posted On Jul 29, 26
Full-time 1 views Experience : Min 15 yrs required
Practice Area:
Professional Liability Defense
Job Tags:
brokers FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities
Practice Area:
Professional Liability Defense
Job Tags:
brokers FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities

Liability Attorney Job Title Professional Liability Attorney Job Responsibilities The Professional Liability Attorney will join the Professional Liability Practice at a law firm. The responsibilities include defending professional liability claims involving various professionals such as insurance agents, real estate agents, accountants, architects, engineers, and...

Posted On Sep 07, 26
Full-time 2 views
Practice Area:
Litigation - Securities Litigation - Defense
Job Tags:
depositions document review financial services litigation FINRA health insurance Insurance Securities
Practice Area:
Litigation - Securities Litigation - Defense
Job Tags:
depositions document review financial services litigation FINRA health insurance Insurance Securities

and registered representatives in FINRA arbitrations concerning securities sales... practices and other related proceedings. The associate will work collaboratively within a cross-office team, requiring strong case management skills and the ability to work directly with clients. Key responsibilities include:...

Attorney in San Francisco, CA

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Posted On Jun 10, 26
Full-time 11 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: The Senior Director, Market Strategy & Research is responsible for providing critical leadership in proactive regulatory risk assessment and the development of regulatory strategy. This role is essential for enabling Surveillance to effectively...

Attorney in San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

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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 for Blockchain Technology acts as an expert within the organization, utilizing specialized knowledge in crypto assets, blockchains, smart contracts, and other...

Attorney in San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

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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 San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

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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 San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

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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 detecting, investigating, and mitigating crypto-related fraud and market abuse within the...

Posted On Sep 07, 26
Full-time 8 views Experience : Min 7 yrs required
Job Tags:
employee benefits Estate and Trust Estate Planning family finance FINRA Insurance investment management private equity wealth management wealth transfer
Job Tags:
employee benefits Estate and Trust Estate Planning family finance FINRA Insurance investment management private equity wealth management wealth transfer

Title Asset & Wealth Management, Private Family Office Financial Planning Advisor, Vice President Job Responsibilities The Family Office Financial Planning Advisor at the Vice President level is responsible for managing client relationships and leading a team of financial planners and...

Posted On Sep 01, 26
Full-time 7 views Experience : Min 8 yrs required
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer
Job Tags:
asset management banking credit facilities Estate Planning family FINRA Insurance lending licensing marketing performer Securities spectrum wealth transfer

Title: Private Banker Job Responsibilities: A Private Banker is responsible for developing and managing client relationships with high-net-worth and ultra-high-net-worth individuals and families within a specific market. The role involves providing integrated financial services advice to clients, which includes banking, credit, asset...

Attorney in San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

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Posted On Jun 21, 26
Full-time 6 views Experience : 5-10 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, the candidate will play a crucial role in protecting the integrity of . securities markets. The responsibilities include: - Leading risk assessments by conducting sophisticated risk monitoring of member firms,...

Attorney in San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

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Posted On Jul 05, 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, providing expert advice on significant matters related to Enforcement and the organization's regulatory mission. - Exercise sound judgment and independent decision-making...

Posted On Aug 24, 26
Full-time 1 views Experience : 2-11 yrs required
Practice Area:
Litigation - Financial Services - Defense
Practice Area:
Litigation - Financial Services - Defense

Francisco. This full-time position is ideal for 4th to 6th year associates interested in financial services litigation, particularly in representing broker-dealers and registered representatives in FINRA issues and conduct... research for drafting briefs on sophisticated legal in FINRA...

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