Find Legal Finra Jobs in Ohio

Estate & Tax Planning Attorney in Columbus, OH

In-House • **Members Only** Columbus, OH

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Posted On Aug 26, 26

Full-time 6 views Experience : Min 5 yrs required

Practice Area:

Estate & Tax Planning

Job Tags:

child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension Privacy spouse title

Title: Wealth Strategist III** **Job Responsibilities:** - Develops, consults on, and implements tax, estate, and financial plans for clients, including those of greater complexity. - Collaborates with other planning resources on specific subject matters of greater complexity and partners in the acquisition of...

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Estate & Tax Planning Attorney in Cleveland, OH

In-House • **Members Only** Cleveland, OH

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Posted On Aug 26, 26

Full-time 4 views Experience : Min 5 yrs required

Practice Area:

Estate & Tax Planning

Job Tags:

child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension Privacy spouse title

Strategist III Position Overview At the company, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive...

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Attorney in Columbus, OH

In-House • **Members Only** Columbus, OH

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Posted On Aug 30, 26

Full-time Experience : 8-10 yrs required

Job Tags:

ADA air authors Business Law employee benefits Employee Retirement Income Security Act Employee Rights ERISA Estate Planning fiduciary financial products FINRA Harassment Insurance marketing Mutual Funds partnerships pension Qualified Retirement Plans Retirement Planning

Title: Technical Director, Advanced Consulting Group (Retirement) Job Responsibilities: As a Technical Director within the Advanced Consulting Group, your role will be pivotal in shaping the future of retirement planning at the company. You will be responsible for driving sales of life...

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Corporate - M&A Attorney / Corporate - Securities and Capital Markets Attorney / Finance - General Attorney / Finance - Financial Services Regulation Attorney / Corporate - General Attorney in Cleveland, OH

In-House • **Members Only** Cleveland, OH

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Posted On Aug 18, 26

Full-time 1 views Experience : Min 5 yrs required

Practice Area:

Corporate - M&A Corporate - Securities and Capital Markets Finance - General Finance - Financial Services Regulation Corporate - General

Job Tags:

agreements banking Capital Markets Code of Conduct credit agreements equity finance FINRA Investment Banking M&A Securities

Title: Senior Counsel Job Responsibilities: - Serve as a primary legal adviser for investment banking deal teams and senior business stakeholders. - Directly counsel senior business leaders on a broad range of corporate and finance transactions, including M&A advisory engagements and capital markets...

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Corporate - Compliance Attorney in Cincinnati, OH

Law Firm • **Members Only** Cincinnati, OH

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Posted On Sep 11, 26

Full-time 51 views Experience : Min 8 yrs required

Practice Area:

Corporate - Compliance

Job Tags:

FINRA investment management regulatory compliance

A G E 2 CHIEF COMPLIANCE OFFICER OR SENIOR COUNSEL OPENING IN CALFEE'S CLEVELAND, COLUMBUS, OR CINCINNATI OFFICE Calfee, a prestigious law firm in Ohio, is currently seeking a Chief Compliance Officer or Senior Counsel to join their Investment...

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Finance - Financial Services Regulation Attorney / Finance - General Attorney in Columbus, OH

Law Firm • **Members Only** Columbus, OH

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Posted On Sep 11, 26

Full-time 41 views Experience : Min 8 yrs required

Practice Area:

Finance - Financial Services Regulation Finance - General

Job Tags:

FINRA investment management regulatory compliance

• Develop and maintain regulatory compliance standards for registered investment adviser and broker-dealer clients • Implement and monitor compliance policies and procedures • Develop strategic vision for compliance functional areas • Maintain regulatory risk and governance oversight • Analyze and...

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Finance - Financial Services Regulation Attorney / Finance - General Attorney in Cleveland, OH

Law Firm • **Members Only** Cleveland, OH

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Posted On Sep 11, 26

Full-time 50 views Experience : Min 8 yrs required

Practice Area:

Finance - Financial Services Regulation Finance - General

Job Tags:

FINRA investment management regulatory compliance

is a law firm with over 160 attorneys located in Cleveland, Columbus, and Cincinnati, Ohio. Founded in 1903, **Members Only,** has been providing comprehensive legal services to clients ranging from Fortune 500 corporations to small businesses for over a century. The...

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Employment Law - Litigation Employer Defense Attorney / Employment Law - Management (Compliance & Counseling) Attorney / Employment Law - Wage and Hour - Defense Attorney / Employment Law - Wage and Hour - General Attorney / Employment Law - General Attor

In-House • **Members Only** Columbus, OH

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Posted On Sep 07, 26

Full-time 10 views Experience : Min 3 yrs required

Practice Area:

Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - Wage and Hour - Defense Employment Law - Wage and Hour - General Employment Law - General

Job Tags:

agreements Common Law Employee Discipline Employment Claims Employment Discrimination Employment Law employment litigation FINRA FLSA FMLA Human Resources Law Intellectual Property Labor and Employment licensing Litigation Severance wage and hour

Title: Assistant General Counsel - Human Resources Law Job Responsibilities: - Manage a docket of employment cases from pre-litigation through hearing/trial in various jurisdictions and forums. - Investigate allegations and oversee outside counsel in employment litigation matters. - Serve as a trusted advisor and...

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Finance - Financial Services Regulation Attorney in Cleveland, OH

In-House • **Members Only** Cleveland, OH

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Posted On Aug 17, 26

Full-time 6 views Experience : 6-10 yrs required

Practice Area:

Finance - Financial Services Regulation

Job Tags:

40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title

Counsel Job Responsibilities The Senior Counsel at the company plays a crucial role within the Corporate Governance department, focusing primarily on legal advisory tasks. Key responsibilities include: - Serving as a senior legal advisor to a registered investment adviser that sub-advises private credit...

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Attorney in Cleveland, OH

Law Firm • **Members Only** Cleveland, OH

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Posted On Sep 11, 26

Full-time 24 views Experience : Min 8 yrs required

Job Tags:

FINRA investment management regulatory compliance

Compliance Officer - Investment Management Chief Compliance Officer Opening in Calfee's Cleveland, Columbus, or Cincinnati Office Opportunity for a Chief Compliance Officer in the Investment Management group in our Cleveland, Columbus, or Cincinnati office. This role...

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Attorney in Columbus, OH

Law Firm • **Members Only** Columbus, OH

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Posted On Sep 11, 26

Full-time 34 views Experience : Min 8 yrs required

Job Tags:

FINRA investment management regulatory compliance

Compliance Officer - Investment Management Chief Compliance Officer Opening in Calfee's Cleveland, Columbus, or Cincinnati Office Opportunity for a Chief Compliance Officer in the Investment Management group in our Cleveland, Columbus, or Cincinnati office. This role...

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Attorney in Cincinnati, OH

Law Firm • **Members Only** Cincinnati, OH

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Posted On Sep 11, 26

Full-time 32 views Experience : Min 8 yrs required

Job Tags:

FINRA investment management regulatory compliance

Compliance Officer - Investment Management Chief Compliance Officer Opening in Calfee's Cleveland, Columbus, or Cincinnati Office Opportunity for a Chief Compliance Officer in the Investment Management group in our Cleveland, Columbus, or Cincinnati office. This role...

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Attorney in Columbus, OH

In-House • **Members Only** Columbus, OH

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Posted On Jul 20, 26

Full-time 1 views Experience : 8-10 yrs required

Job Tags:

ADA air Asset Protection authors Business Law Employee Rights Estate Planning finance financial products FINRA Harassment Insurance marketing Mutual Funds partnerships pension Qualified Retirement Plans trusts wealth transfer

Title: Technical Director, Advanced Consulting Group (Life) Job Responsibilities: As a Technical Director in the Advanced Consulting Group (Life Team) at the company, the primary responsibility is to assist financial professionals in navigating complex domains such as life insurance, wealth transfer, estate...

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Attorney in Dayton, OH

In-House • **Members Only** Dayton, OH

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Posted On Jul 19, 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

Title Senior Relationship Manager Job Responsibilities - Act as the primary client advisor by recommending banking, borrowing, and investment solutions that help clients achieve their financial goals. - Lead, coordinate, and assemble an extended advisory team, including trust, investment, and...

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Attorney in Columbus, OH

In-House • **Members Only** Columbus, OH

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Posted On Jul 19, 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

Title: **Members Only,** Senior Relationship Manager Job Responsibilities: - Act as the primary client advisor, recommending banking, borrowing, and investment solutions to help clients achieve their financial goals. - Lead, coordinate, and assemble the extended advisory team, including trust, investment, and planning strategists, based...

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Attorney in Akron, OH

In-House • **Members Only** Akron, OH

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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

Title: **Members Only,** Senior 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 trust, investment,...

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Legal Staff Paralegal in Cleveland, OH

Law Firm • **Members Only** Cleveland, OH

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Posted On Jun 15, 26

Full-time 3 views Experience : 3-5 yrs required

Practice Area:

Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Financial Services - Defense

Job Tags:

depositions evidence FINRA Insurance Litigation pleadings Software trials

in matters related to financial services issues, including those involving FINRA, SEC, and other state... regulatory matters. The specific responsibilities include: - Serving as the primary and/or lead paralegal on business litigation matters. - Assisting with fact investigation and evidence development, i...

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Chief Compliance Officer Or Senior Counsel

Recruiter • **Members Only** Columbus, OH

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Posted On Jul 27, 26

Full-time 29 views Experience : 4-20 yrs required

Practice Area:

Corporate - Compliance Corporate - Asset/Investment Management

Title: Chief Compliance Officer Or Senior CounselJob Overview: A distinguished law firm based in Columbus, OH is seeking an accomplished compliance and legal professional with deep experience in investment regulation to serve in a senior leadership capacity. This position will play...

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Finra Jobs in Ohio

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