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Finra Jobs in Mooresville

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United States
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 critical role in supporting attorneys within the Private Fund Practice of the Technology Companies Group at the law firm. The key responsibilities include: - Assisting attorneys with the formation and...

Posted On Sep 08, 26
Full-time 14 views Experience : Min 10 yrs required
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - 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:
Corporate - Compliance Corporate - Asset/Investment Management Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - 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 company's financial services business, offering legal analysis and advice related to compliance with applicable rules, regulations, and legal risks impacting brokerage and...

Posted On Jun 26, 26
Full-time 8 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa

Title: Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management) Job Responsibilities: The role of Senior Counsel involves providing legal support to the Wealth and Investment Management (WIM) division, specifically focusing on the distribution of registered investment...

Posted On Jul 07, 26
Full-time 1 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol artificial intelligence banking children Code of Conduct derivatives Disability Benefits ETFs FINRA health benefits Insurance Investment Advisers Act of 1940 investment management marketing Mutual Funds Privacy Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
advertising agreements alcohol artificial intelligence banking children Code of Conduct derivatives Disability Benefits ETFs FINRA health benefits Insurance Investment Advisers Act of 1940 investment management marketing Mutual Funds Privacy Securities Act of 1933 Securities Exchange Act of 1934 Visa

ETFs, and other registered products, ensuring compliance with FINRA rules and SEC regulations. -... Provide legal support for the distribution of private funds, including private placements under Regulation D and offshore offerings. - Draft, review, and negotiate distribution-related agreements, including selling agr...

Posted On Jul 12, 26
Full-time 3 views Experience : 5-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML Bank Secrecy Act Capital Markets equity Ethics family FCPA FINRA high yield Insurance lending licensing OFAC pension public offerings Securities securities laws stage
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements AML Bank Secrecy Act Capital Markets equity Ethics family FCPA FINRA high yield Insurance lending licensing OFAC pension public offerings Securities securities laws stage

Title Senior Corporate Counsel - Securities Capital Markets Job Responsibilities - Provide legal advice to internal stakeholders who originate and underwrite public and private debt securities issuances, including investment grade and high yield debt. - Review, draft, and negotiate transaction...

Posted On Aug 20, 26
Full-time 4 views Experience : 5-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - M&A Corporate - Contract Law Corporate - General Corporate - Compliance
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - M&A Corporate - Contract Law Corporate - General Corporate - Compliance
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 concerning applicable rules, regulations, and legal risks related to the brokerage and investment advisory business....

Posted On Sep 16, 26
Full-time 3 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets
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
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 regarding onboarding, due diligence, sales, and controls related to Alternative Investments, Complex Products, and Digital Assets. - Offer day-to-day legal support for the company's alternative investments platform, including compliance analysis and...

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

business. Key responsibilities include: Regulatory Advisory: - Advising on . regulatory frameworks such as Dodd-Frank, SEC and CFTC rules, Investment Advisers Act, FINRA, and state securities laws. -... Monitoring regulatory developments across derivatives, trading, and advisory, and assessing their impact on business practi...

Posted On Sep 17, 26
Full-time 4 views Experience : Max 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation 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 Corporate - General Finance - General
Job Tags:
agreements asset management derivatives family FINRA H-1B Insurance ISDA regulatory compliance securities laws shareholders Visa

frameworks including Dodd-Frank, SEC and CFTC rules, Investment Advisers Act, FINRA and state securities laws. -... Monitor regulatory developments across derivatives, trading, and advisory and assess their impact on business practices and documentation. - Provide guidance on cross-border regulatory requirements, including EMI...

Posted On Jun 16, 26
Full-time 5 views Experience : Min 4 yrs required
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Traditional Labor Law (Unions) Employment Law - Management (Compliance & Counseling) Employment Law - General
Job Tags:
alcohol children Collective Bargaining Disability Benefits Employment Claims Employment Law employment litigation Federal Employment Law FINRA health benefits Insurance Labor Law Litigation partnerships regulatory compliance Visa
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Traditional Labor Law (Unions) Employment Law - Management (Compliance & Counseling) Employment Law - General
Job Tags:
alcohol children Collective Bargaining Disability Benefits Employment Claims Employment Law employment litigation Federal Employment Law FINRA health benefits Insurance Labor Law Litigation partnerships regulatory compliance Visa

Title: Senior Counsel - AVP, Employment Counseling & Litigation Job Responsibilities: - Lead or participate in moderately complex initiatives and deliverables and contribute to large-scale planning. - Provide legal advice and represent the Company in highly complex litigation, negotiations, settlement...

Posted On Jul 01, 26
Full-time 6 views Experience : 8-12 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management

Title: Vice President, Cybersecurity Attorney Job Responsibilities: - Serve as the lead legal advisor on cybersecurity matters for the company, providing strategic counsel on incident response, cybersecurity regulations, data security requirements, crisis management, and cyber governance activities. - Advise on legal and regulatory...

Posted On Jul 03, 26
Full-time 5 views Experience : 8-12 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management

Title: VP, Assistant General Counsel, Cybersecurity Job Responsibilities: - Serve as the lead legal advisor on cybersecurity matters within the company. - Provide strategic legal counsel on incident response, cybersecurity regulations, data security requirements, crisis management, and cyber governance across broker-dealer and investment...

Posted On Aug 20, 26
Full-time 3 views Experience : Min 8 yrs required
Practice Area:
ERISA/Executive Compensation Transactions & Compliance ERISA - 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
Job Tags:
agreements contracts ERISA fiduciary Financial Industry Regulatory Authority FINRA health benefits marketing Securities securities laws stock options trusts

Title: Vice President, Assistant General Counsel - Retirement Job Responsibilities: - Provide pragmatic legal advice and thought leadership related to the company's advisory, brokerage, custodian, and recordkeeping business for retirement plans and accounts. - Advise on the impacts of new...

Posted On Aug 20, 26
Full-time 5 views Experience : Min 6 yrs required
Practice Area:
Administrative Law Government and Government Relations Government - General
Job Tags:
FINRA health benefits Securities stock options
Practice Area:
Administrative Law 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 Aug 26, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Finance - Financial Services Regulation Finance - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Finance - Financial Services Regulation Finance - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership

Title: AVP, Sr. Counsel, Broker-Dealer and Investment Advisor Job Responsibilities: - Provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. - Partner closely with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations,...

Posted On Sep 18, 26
Full-time 2 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: Vice President, Assistant General Counsel, Cybersecurity Job Responsibilities: The Vice President, Cybersecurity Attorney will serve as the company's lead legal advisor on cybersecurity matters. Key responsibilities include: - Advising on legal and regulatory obligations related to cybersecurity incidents, including assessments...

Posted On Sep 01, 26
Full-time 8 views Experience : 8-10 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: - Develops and manages client relationships with high-net-worth and ultra-high-net-worth individuals and families within a specific market. - Provides integrated financial services advice including banking, credit, asset management, trust and estate planning, and brokerage. - Manages overall relationship profitability...

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