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Finra Jobs in Rockwall

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United States
Posted On Sep 07, 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 1 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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Posted On Aug 18, 26
Full-time 1 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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Posted On Aug 20, 26
Full-time 44 views Experience : 4-8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - M&A
Job Tags:
agreements Capital Markets Copyright corporate governance FINRA M&A marketing Mergers and Acquisitions Securities securities laws stock purchase agreements
Practice Area:
Corporate - Securities and Capital Markets Corporate - General Corporate - M&A
Job Tags:
agreements Capital Markets Copyright corporate governance FINRA M&A marketing Mergers and Acquisitions Securities securities laws stock purchase agreements

with leadership team. - Handle complex legal matters, including core business operations, capital markets and securities transactions, and corporate governance. - Draft and negotiate transaction agreements, marketing materials, and other legal documents. - Ensure compliance with SEC regulations, FINRA rules,...

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Posted On Jul 13, 26
Full-time 2 views
Practice Area:
Administrative Law Government - General
Job Tags:
criminal employee benefits FINRA Investment Banking investment management Litigation Securities wealth management
Practice Area:
Administrative Law Government - General
Job Tags:
criminal employee benefits FINRA Investment Banking investment management Litigation Securities wealth management

inquiries from regulators and law enforcement at the state and federal level, including the SEC, FINRA, DOJ, and various state... agencies. - Collect and preserve documents and data from internal systems, departments, and clients for review, analysis, and production. This incl...

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Posted On Aug 11, 26
Full-time 1 views Experience : 3-5 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
Job Tags:
agreements closing documents Electronic Signatures ETFs FINRA Fraud Law Litigation Mutual Funds Securities securities litigation Software
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
Job Tags:
agreements closing documents Electronic Signatures ETFs FINRA Fraud Law Litigation Mutual Funds Securities securities litigation Software

organize, and manage client documents. - Draft correspondence, engagement agreements, discovery, settlement documents, and other legal documents. - Prepare filings for FINRA arbitration, JAMS, AAA, and... other forums. - Maintain case files in electronic document management systems. - Coordinate electron...

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Posted On Jul 13, 26
Full-time 1 views Experience : Min 5 yrs required
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA fraud Government Investment Banking investment management Litigation Securities wealth management
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA fraud Government Investment Banking investment management Litigation Securities wealth management

Title: Vice President, Wealth Management Investigations Attorney Job Responsibilities: - Conduct and coordinate internal investigations involving potential employee misconduct, including serious violations of law or industry rules such as misappropriation, fraud, and insider trading, as well as internal violations of company policies. -...

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Posted On Aug 07, 26
Full-time 19 views Experience : 3-7 yrs required
Practice Area:
Litigation - Securities Litigation - Defense
Job Tags:
Business Law depositions evidence FINRA Litigation Securities securities litigation
Practice Area:
Litigation - Securities Litigation - Defense
Job Tags:
Business Law depositions evidence FINRA Litigation Securities securities litigation

complex matters impacting the financial services landscape. - Handle sophisticated commercial, business, and securities litigation cases. - Represent commercial and securities clients in both state and federal courts, as well as various arbitration forums, including AAA and FINRA. - Draft persuasive, high-level mot......

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Posted On Jun 01, 26
Full-time 14 views Experience : Min 6 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - White Collar Crime & Government Investigations - Defense
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - White Collar Crime & Government Investigations - Defense
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse

Title: Counsel, Enforcement Job Responsibilities: The Counsel, Enforcement is responsible for resolving non-complex Enforcement matters and contributing meaningful, high-quality work for large complex matters. The role involves executing a risk-based legal strategy to fairly assess records, recommending fair and effective outcomes, negotiating...

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Posted On Jul 07, 26
Full-time 1 views Experience : 5-10 yrs required
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA wealth management
Practice Area:
Criminal Law - Defense
Job Tags:
FINRA wealth management

Title: Senior Investigations Attorney Job Responsibilities: - Manage a docket of internal and regulatory enforcement investigations and inquiries for the Wealth Management business. - Conduct internal investigations involving potential employee misconduct. - Handle regulatory enforcement matters related to the company's broker-dealers, investment advisers, banks,...

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Posted On Jul 13, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Finance - Financial Services Regulation Administrative Law Finance - General Government - General
Job Tags:
employee benefits FINRA fraud Government Investment Banking investment management Litigation Securities wealth management
Practice Area:
Finance - Financial Services Regulation Administrative Law Finance - General Government - General
Job Tags:
employee benefits FINRA fraud Government Investment Banking investment management Litigation Securities wealth management

Title: Executive Director, Senior Wealth Management Investigations Attorney Job Responsibilities: The Executive Director, Senior Wealth Management Investigations Attorney at the company is tasked with managing a docket of internal and regulatory enforcement investigations and inquiries for the Wealth Management business segment. This...

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Attorney in Dallas, TX

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

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Posted On Aug 12, 26
Full-time 1 views
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Lead risk monitoring activities for complex and elevated-risk member firms, utilizing independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal...

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Attorney in Dallas, TX

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

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Posted On Aug 20, 26
Full-time Experience : 2-10 yrs required
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: - Lead and manage a team of investigators focusing on crypto-related fraud and market abuse within the securities industry. - Oversee investigations using both onchain techniques (such as blockchain analytics, smart contract...

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Posted On Aug 18, 26
Full-time 36 views Experience : Min 8 yrs required
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management
Job Tags:
banking Corporation Deferred Compensation fiduciary FINRA Insurance licensing marketing pension Securities Software wealth management

Advisor III - Dallas / Fort Worth: - Available in 2 locations - Category: Wealth, Brokerage and Premier Banking - Posted Date: 08/28/2024 - Regular or Temporary: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States...

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Posted On Aug 27, 26
Full-time 7 views Experience : 7-18 yrs required
Job Tags:
banking criminal Estate Planning estates FINRA Retirement Planning Taxation trusts wealth management wealth transfer
Job Tags:
banking criminal Estate Planning estates FINRA Retirement Planning Taxation trusts wealth management wealth transfer

Title: Wealth Strategist Job Description: Company is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. As one of the largest businesses of its kind in the world, it specializes in goals-based wealth management,...

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Attorney in Dallas, TX

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

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Posted On Jun 10, 26
Full-time 3 views 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: Senior Director, Market Strategy & Research Job Responsibilities: The Senior Director, Market Strategy & Research is a pivotal role that provides leadership in regulatory risk assessment and strategy development. The responsibilities include: - Collaborating with the head of Surveillance Operations and senior...

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Attorney in Dallas, TX

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

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Posted On Jun 21, 26
Full-time 12 views
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse

Title Principal Analyst, Risk Monitoring Job Responsibilities As a Principal Risk Monitoring Analyst at the organization, you will play a crucial role in maintaining the integrity of . securities markets by identifying emerging risks and assessing complex member firms. Your...

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Attorney in Dallas, TX

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

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Posted On Jul 05, 26
Full-time 1 views Experience : Min 12 yrs required
Job Tags:
Affirmative Action child Code of Conduct corporate compliance domestic partner family finance financial services regulation FINRA Government Insurance invention Litigation Media Securities special projects spouse
Job Tags:
Affirmative Action child Code of Conduct corporate compliance domestic partner family finance financial services regulation FINRA Government Insurance invention Litigation Media Securities special projects spouse

Title: Vice President, Enforcement Senior Advisor & Operations Job Responsibilities: - Serve as a strategic partner and thought leader to the EVP, acting as a trusted advisor on significant matters related to Enforcement and the organization's regulatory mission. - Exercise sound judgment and...

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Attorney in Dallas, TX

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

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Posted On Jul 26, 26
Full-time Experience : Min 12 yrs required
Job Tags:
Affirmative Action agreements child Code of Conduct domestic partner family FINRA Insurance invention Securities securities laws spouse
Job Tags:
Affirmative Action agreements child Code of Conduct domestic partner family FINRA Insurance invention Securities securities laws spouse

Title: Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job Responsibilities: The Senior Advisor serves as a strategic regulatory advisor and subject matter expert on market structure, market regulation, and Regulatory Services Agreement (RSA) matters. The role encompasses several...

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Posted On Jul 27, 26
Full-time 9 views Experience : 2-13 yrs required
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Plaintiffs
Practice Area:
Litigation - Commercial Litigation - Securities Litigation - Plaintiffs

OverviewA law firm seeks a skilled Commercial and Securities Litigation Associate Attorney to join their team in Dallas, TX. This role offers the opportunity to work on high-stakes, complex litigation matters within a supportive and dynamic with top litigators...

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