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Finra Jobs in Mamaroneck

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United States
Posted On Sep 10, 26
Full-time 22 views Experience : Min 5 yrs required
Practice Area:
Corporate - Private Equity Corporate - Asset/Investment Management Corporate - M&A
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Private Equity Corporate - Asset/Investment Management Corporate - M&A
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

Title: Vice President, Legal and Compliance Division - Capital Markets and Private Markets Job Responsibilities: The Vice President in the Legal and Compliance Division will provide legal coverage for the Capital Markets and Private Markets businesses within the company. The attorney will focus...

Posted On Jul 13, 26
Full-time 4 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Private Equity Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Private Equity Corporate - General
Job Tags:
agreements Capital Markets derivatives employee benefits equity ERISA FINRA marketing Partnership private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws wealth management

Title: Capital Markets / Private Markets Attorney Job Responsibilities: - Provide legal coverage for the Capital Markets and Private Markets businesses at the company, with a focus on the Private Securities transactional business. - Work closely with a team of seven capital markets...

Posted On Aug 18, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Title: Executive Director Level Attorney Job Responsibilities: The Executive Director Level Attorney will have a highly visible role within the company, focusing on the Alternative Investments and Private Markets platforms. Key responsibilities include: - Advising on the structuring, distribution, marketing,...

Posted On Sep 18, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - Venture Capital/Emerging Companies Corporate - General
Job Tags:
agreements Data Protection distribution agreements employee benefits ERISA FINRA hedge funds Investment Advisers Act of 1940 IPO marketing Money Laundering private equity Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws stage wealth management

Title ED, Alternative Investments Attorney Job Responsibilities The Executive Director level attorney at the company will be primarily responsible for advising on the structuring, distribution, marketing, diligence, and ongoing support of alternative investment and private markets products and private securities...

Posted On Aug 21, 26
Full-time 3 views Experience : Min 15 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
Job Tags:
40 Act cryptocurrency due diligence ETFs finance FINRA Investment Advisers Act of 1940 marketing Securities Act of 1933 Securities Exchange Act of 1934 spectrum trusts

(B/D), and 40 Act registered fund obligations, including all policies, procedures, testing, and supervisory controls. - Monitor proposed SEC, FINRA, NFA, and CFTC rulemaking... on an ongoing basis and translate regulatory developments into timely, actionable policy updates and business guid...

Posted On Jul 28, 26
Full-time 1 views Experience : Min 7 yrs required
Job Tags:
advertising Disability Benefits equity finance financial services regulatory FINRA Insurance marketing partnerships regulatory compliance
Job Tags:
advertising Disability Benefits equity finance financial services regulatory FINRA Insurance marketing partnerships regulatory compliance

Title: Compliance Officer (Distribution Marketing) Job Responsibilities: - Own the end-to-end marketing content compliance review processes. - Improve current compliance workflows to identify bottlenecks, inefficiencies, or gaps. - Propose and own the roadmap for improvements, communicate compliance requirements, and partner with technology and marketing...

Posted On Jul 15, 26
Full-time 1 views
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
FINRA Insurance
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
FINRA Insurance

within the realm of FINRA arbitrations representing investors. The... key duties include: - Assisting with drafting requests for documents - Preparing discovery responses - Engaging in motion practice - Facilitating client communication The role requires exceptional organizational skills and a...

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,...

Posted On Aug 28, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Finance - Banking Finance - Project Finance Finance - Structured Finance Finance - Financial Services Regulation Finance - General
Job Tags:
Affirmative Action AML bank lending banking Broker Dealer Capital Markets corporate governance Cybersecurity Data Protection derivatives developers employee benefits Energy equity finance FINRA Investment Banking lending Litigation project finance Securities securities laws Visa
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Finance - Banking Finance - Project Finance Finance - Structured Finance Finance - Financial Services Regulation Finance - General
Job Tags:
Affirmative Action AML bank lending banking Broker Dealer Capital Markets corporate governance Cybersecurity Data Protection derivatives developers employee benefits Energy equity finance FINRA Investment Banking lending Litigation project finance Securities securities laws Visa

Title: Investment Banking In-House Finance Counsel Job Responsibilities: The successful candidate for the Investment Banking In-House Finance Counsel position at the company will be responsible for providing legal counsel on various legal and regulatory issues, particularly in support of the Corporate &...

Posted On Sep 11, 26
Full-time 4 views Experience : Min 10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Finance - Banking Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General
Job Tags:
Bank Secrecy Act banking banking laws corporate governance corporate regulatory emerging technologies equity Ethics family FCPA FINRA government relations Insurance Investment Advisers Act of 1940 investment management Mergers and Acquisitions OFAC pension Securities Securities Act of 1933 Securities Exchange Act of 1934 stage

Title: Senior Associate General Counsel - Strategic Initiatives Regulatory Counsel Job Responsibilities: 1. Bank Regulatory and Enterprise Advisory: - Provide legal counsel regarding core federal banking laws and regulations, including prudential, safety and soundness, corporate governance, affiliate transaction, investment, and permissible activity...

Posted On Sep 17, 26
Full-time 8 views Experience : Max 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Finance - Banking Corporate - General Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Finance - Banking Corporate - General Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa

research, trading activities, investment products, and related regulatory matters. - Advise on . regulatory frameworks such as Dodd-Frank, SEC and CFTC rules, Investment Advisers Act, FINRA, and state securities laws. -... Monitor regulatory developments in derivatives, trading, and advisory, assessing their im...

Posted On Sep 17, 26
Full-time 7 views Experience : Min 4 yrs required 1 applications
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Finance - Banking Finance - Structured Finance Corporate - General Finance - General
Job Tags:
agreements asset management Broker Dealer Capital Markets corporate governance credit agreements Ethics finance FINRA Harassment investment management Joint Ventures partnerships Privacy Securities securities laws structured finance syndicated transactions Syndication
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Finance - Banking Finance - Structured Finance Corporate - General Finance - General
Job Tags:
agreements asset management Broker Dealer Capital Markets corporate governance credit agreements Ethics finance FINRA Harassment investment management Joint Ventures partnerships Privacy Securities securities laws structured finance syndicated transactions Syndication

Title: Director, Legal, Brookfield Capital Solutions Job Responsibilities: The Director, Legal, at Company will play a crucial role in supporting the Capital Solutions Business and other business initiatives, as well as general corporate governance and regulatory matters. The Director will...

Posted On Sep 23, 26
Full-time
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Banking Finance - Structured Finance Corporate - General Finance - General
Job Tags:
agreements contracts Financial Services Law FINRA hedge funds lending Mutual Funds Securities swaps
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Banking Finance - Structured Finance Corporate - General Finance - General
Job Tags:
agreements contracts Financial Services Law FINRA hedge funds lending Mutual Funds Securities swaps

Title: Legal Counsel Job Responsibilities: - Negotiate contracts supporting multiple business lines, including but not limited to prime brokerage, OTC swaps, securities lending, repo, futures, cleared swaps, cash equities, and exchange-traded funds seeding/creation. - Ensure timely updates to umbrella trading agreements...

Posted On Sep 03, 26
Full-time 54 views Experience : Min 5 yrs required
Practice Area:
Corporate - M&A Corporate - Venture Capital/Emerging Companies 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 - M&A Corporate - Venture Capital/Emerging Companies 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

pay range and discretionary bonus may be adjusted based on the location in which the position is performed. H1: Senior Corporate Paralegal Law Firm Full-Time Silicon Valley, New York, San Francisco, Seattle, Santa Monica H2:...

Posted On Sep 03, 26
Full-time 14 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 will focus on areas including Startups, Capital Markets, and Mergers & Acquisitions. Specific responsibilities include: - Startups: Incorporating technology and life sciences companies, managing corporate records, implementing and administering stock...

Posted On Sep 02, 26
Full-time 1 views Experience : 7-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act Corporation directors FINRA Human Rights Law International Law LLC renewals Securities special projects
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
1940 Act Corporation directors FINRA Human Rights Law International Law LLC renewals Securities special projects

Title: Paralegal - Investment Funds Job Responsibilities: The role of a Paralegal in the Investment Funds practice group involves a variety of responsibilities centered around securities law and regulatory compliance. The candidate is expected to prepare and file Form IDs with the...

Posted On Sep 18, 26
Full-time 1 views 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, you will support the delivery of quality legal services to clients by performing technical tasks that require accuracy, attention to detail, strong organizational skills, strong written and oral communication...

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 plays a crucial role in supporting attorneys within the law firm's Technology Companies Group, specifically in the Private Fund Practice. The key responsibilities include: - Assisting attorneys in the formation and structuring of...

Posted On Sep 14, 26
Full-time 1 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 handling matters related to Capital Markets and Public Companies. The role requires specialized experience in initial public offerings (IPOs) and public...

Posted On Sep 15, 26
Full-time 2 views Experience : Min 8 yrs required
Practice Area:
Corporate - General
Job Tags:
acquisitions artificial intelligence Contractual Obligations corporate governance Corporate Law corporate transactions equity finance FINRA Genetics Government Insurance Litigation lobbying Privacy restructuring Securities Software
Practice Area:
Corporate - General
Job Tags:
acquisitions artificial intelligence Contractual Obligations corporate governance Corporate Law corporate transactions equity finance FINRA Genetics Government Insurance Litigation lobbying Privacy restructuring Securities Software

Title: Senior Corporate Paralegal Job Responsibilities: - Support corporate governance activities, including maintaining corporate records and minute books, managing subsidiaries, preparing for board meetings, drafting resolutions and consents, and maintaining compliance-related documents. - Maintain qualifications, registered agent relationships, and annual report filings for...

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