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Finra Jobs in Prosper

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United States
Posted On Sep 14, 26
Full-time 9 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 - 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
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - Wage and Hour - Defense 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...

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

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Posted On Sep 01, 26
Full-time 2 views Experience : 5-10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark

ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and interact with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms...

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

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Posted On Sep 15, 26
Full-time 2 views Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Title: Vice President, Trading and Product Risk Intelligence Job Responsibilities: The Vice President, Trading and Product Risk Intelligence, is a pivotal leadership role within the Intelligence leadership team. Reporting directly to the Senior Vice President of Strategic Intelligence, the VP will lead...

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

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Posted On Sep 22, 26
Full-time 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: Director, Market Strategy & Research Job Responsibilities: The Director, Market Strategy & Research is responsible for providing leadership in regulatory risk assessment and strategy development. This role involves several key responsibilities: - Collaborate with Surveillance Operations leadership to conduct continuous qualitative research...

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Attorney in Plano, TX

Public Interest • **Members Only** Plano, TX

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Posted On Sep 15, 26
Full-time 1 views Experience : Min 10 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Title: Vice President, Strategic and Threat Intelligence Job Responsibilities: 1. Strategic Planning, Leadership, and Stakeholder Engagement: - Serve as a key member of senior management and strategic advisor to business stakeholders, partnering across departments to provide critical leadership and strategic direction on...

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Posted On Aug 18, 26
Full-time 2 views
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Defense
Job Tags:
commercial litigation depositions FINRA Litigation securities litigation
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Defense
Job Tags:
commercial litigation depositions FINRA Litigation securities litigation

matters. - Represent clients in state and federal courts and arbitration forums, including FINRA and AAA. - Draft motions,... briefs, memoranda, and other litigation-related filings. - Participate in hearings, depositions, mediations, arbitrations, and court appearances. - Collaborate with attorneys and legal staff on co...

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