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Finra Jobs in Richfield

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United States
Posted On Aug 18, 26
Full-time 2 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
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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Posted On Sep 28, 26
Full-time 1 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title

Title: Senior Counsel--Investment Advisor Job Responsibilities: - Serve as a legal advisor to one or more registered investment advisers that advise private credit funds and other investment vehicles, including certain funds registered under the Investment Company Act of 1940. - Provide legal support...

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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
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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Posted On Sep 21, 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
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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Posted On Sep 11, 26
Full-time 24 views Experience : Min 8 yrs required
Job Tags:
FINRA investment management regulatory compliance
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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Posted On Aug 16, 26
Full-time 21 views Experience : 4-20 yrs required
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management

TitleChief Compliance Officer Or Senior CounselJob OverviewA prominent law firm located in Cleveland, OH seeks a seasoned compliance leader or senior-level legal advisor to support its Investment Management division. This strategic position involves guiding sophisticated financial services clients-primarily registered investment...

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