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Finra Jobs in Rancho Santa Fe

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United States
Posted On Sep 10, 26
Full-time 5 views Experience : 5-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Corporate Law Financial Institutions FINRA health insurance Investment Advisers Act of 1940 Litigation M&A Partnership regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements Corporate Law Financial Institutions FINRA health insurance Investment Advisers Act of 1940 Litigation M&A Partnership regulatory compliance Securities Securities Act of 1933 Securities Exchange Act of 1934 securities laws

Title: Senior Attorney** **Job Responsibilities:** 1. **Transactional Expertise:** - Lead and oversee complex securities transactions. - Provide regulatory counsel for investment advisers, broker-dealers, and private funds. - Handle RIA, BD, and private fund formations, along with other investment-related agreements. 2. **Regulatory Compliance:**...

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Posted On Jun 30, 26
Full-time 10 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: The VP, Assistant General Counsel, Cybersecurity at the company will serve as the lead legal advisor on cybersecurity matters. The responsibilities include: - Advising on legal and regulatory obligations associated with cybersecurity incidents, including...

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Posted On Jul 03, 26
Full-time 3 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, providing strategic legal counsel on incident response, cybersecurity regulations, data security requirements, crisis management, and cyber governance activities across the broker-dealer and investment...

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Posted On Sep 14, 26
Full-time 1 views Experience : Min 12 yrs required
Job Tags:
asset management banking credit facilities criminal FINRA mortgage loans private client shareholders
Job Tags:
asset management banking credit facilities criminal FINRA mortgage loans private client shareholders

Title: Private Client Advisor II Job Responsibilities: The Private Client Advisor II is responsible for acquiring new clients, deepening client relationships, and building upon an internal and external network to achieve business development goals. Key responsibilities include leading the Client...

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Posted On Aug 11, 26
Full-time 87 views Experience : 3-20 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management

experience in SEC and FINRA regulatory matters. The candidate... will advise clients on SEC regulatory and securities issues and provide counsel on unique and complex legal issues. Will be responsible for providing advice and trusted counsel to clients and will...

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