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Finra Jobs in San Ramon

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United States
Posted On Aug 27, 26
Full-time 19 views Experience : 12-18 yrs required
Job Tags:
asset management banking credit facilities criminal FINRA private client shareholders
Job Tags:
asset management banking credit facilities criminal FINRA private client shareholders

Title: Private Client Advisor II Job Responsibilities: The Private Client Advisor II is tasked with acquiring new clients, deepening existing client relationships, and expanding both internal and external networks to achieve business development objectives. Key responsibilities include leading the Client Management...

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Posted On Sep 03, 26
Full-time 45 views Experience : Min 5 yrs required
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A Corporate - General
Job Tags:
acquisitions Capital Markets closing documents due diligence Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A Corporate - General
Job Tags:
acquisitions Capital Markets closing documents due diligence Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital

Corporate Paralegal - Hybrid Schedule - Up to $180,000/Year Job Description: - Seeking experienced Senior Corporate Paralegal for a hybrid schedule position - Must have experience in startups, mergers & acquisitions, and capital markets - Work schedule is...

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Posted On Sep 03, 26
Full-time 6 views Experience : Min 3 yrs required
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
acquisitions Capital Markets closing documents due diligence emerging technologies Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
acquisitions Capital Markets closing documents due diligence emerging technologies Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital

Title: Mid-Level Corporate Paralegal Job Responsibilities: The Mid-Level Corporate Paralegal position at the law firm focuses on Startups, Capital Markets, and Mergers & Acquisitions. The role requires the following responsibilities: - For Startups: Incorporating technology and life sciences companies, managing corporate records, implementing...

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Posted On Sep 03, 26
Full-time 3 views Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets closing documents emerging technologies FINRA Insurance stock exchange
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets closing documents emerging technologies FINRA Insurance stock exchange

Title: Mid-Level Capital Markets & Public Companies Paralegal Job Responsibilities: The role involves managing a range of responsibilities related to Capital Markets and Public Companies. Key duties include: - Handling IPOs and public company operations. - Preparing registration statement numerical...

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Posted On Sep 03, 26
Full-time 8 views Experience : Min 3 yrs required
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
acquisitions Capital Markets closing documents due diligence emerging technologies Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
acquisitions Capital Markets closing documents due diligence emerging technologies Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital

Title: Mid-Level Corporate Paralegal Job Responsibilities: The Mid-Level Corporate Paralegal at the law firm will be primarily responsible for supporting the legal team in areas focused on Startups, Capital Markets, and Mergers & Acquisitions. The responsibilities include: Startup (required): - Incorporating technology and life...

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Posted On Sep 03, 26
Full-time 42 views Experience : Min 5 yrs required
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions Capital Markets closing documents due diligence equity FINRA Insurance IPO life sciences mergers startup stock exchange Venture Capital
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - M&A Corporate - Securities and Capital Markets Corporate - General
Job Tags:
acquisitions Capital Markets closing documents due diligence equity FINRA Insurance IPO life sciences mergers startup stock exchange Venture Capital

anticipated start date for this position is as soon as possible. H1: Senior Corporate Paralegal - Law Firm H2: Hybrid Schedule, Startup, M&A, Capital Markets Experience Job Title: Senior Corporate Paralegal - Hybrid Schedule, Startup, M&A,...

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Posted On Sep 03, 26
Full-time 13 views Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets closing documents emerging technologies FINRA Insurance stock exchange
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets closing documents emerging technologies FINRA Insurance stock exchange

Title: Mid-Level Capital Markets & Public Companies Paralegal Job Responsibilities: The Mid-Level Capital Markets & Public Companies Paralegal is responsible for managing various aspects of capital markets and public company operations. Key duties include: - Handling matters related to Initial Public Offerings (IPOs)...

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Posted On Jul 29, 26
Full-time Experience : Min 8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange

Title: Capital Markets Group Paralegal Job Responsibilities: As a Capital Markets Group Paralegal, your role is to support the delivery of quality legal services to clients through a variety of technical and detailed tasks. Your primary responsibilities include: - Managing complex projects independently...

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Posted On Aug 11, 26
Full-time Experience : Min 3 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Contract Law Corporate - General Real Estate - Finance Real Estate- Commercial Transactions Real Estate - General
Job Tags:
agreements commercial real estate contracts developers EB-5 escrow FINRA Immigration marketing marketing agreements private equity Securities special projects USCIS
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - Compliance Corporate - Contract Law Corporate - General Real Estate - Finance Real Estate- Commercial Transactions Real Estate - General
Job Tags:
agreements commercial real estate contracts developers EB-5 escrow FINRA Immigration marketing marketing agreements private equity Securities special projects USCIS

We are seeking an organized, detail-oriented, and experienced paralegal to join our legal team. This role is crucial for assisting with legal and compliance matters related to existing and new real estate investment funds. The candidate will be part of...

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Posted On Aug 14, 26
Full-time 3 views Experience : 2-5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange

law firm currently has an excellent opportunity for a Corporate Paralegal in their Boston, San Francisco, or New York office. Job Title Corporate Paralegal Job Responsibilities As a Corporate Paralegal, you will support the delivery of quality legal services to clients by performing technical...

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Posted On Sep 07, 26
Full-time 1 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software

Title: Private Funds Paralegal Job Responsibilities: The Private Funds Paralegal will play a crucial role in supporting attorneys within the Private Fund Practice of the Technology Companies Group at the law firm. The responsibilities include: - Assisting attorneys with the formation and structuring...

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Posted On Aug 07, 26
Full-time 1 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
banking Energy equity finance FINRA Investment Company Act LLC marketing Securities stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
banking Energy equity finance FINRA Investment Company Act LLC marketing Securities stock options

Title: Senior Product & Regulatory Counsel - Investment Products Job Responsibilities: - Own the investment products portfolio by serving as the primary legal advisor for Mercury Treasury and Mercury Invest, which are products that provide business and consumer customers access to non-deposit...

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Posted On Jun 01, 26
Full-time 14 views Experience : Min 6 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse

Title: Counsel, Enforcement Job Responsibilities: The Enforcement Counsel is responsible for resolving non-complex Enforcement matters and contributing high-quality work for larger, complex matters. Key responsibilities include: - Resolving non-complex Enforcement matters through rigorous assessment and effective advocacy. - Executing a...

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Posted On Jul 29, 26
Full-time Experience : Min 15 yrs required
Practice Area:
Professional Liability Defense
Job Tags:
brokers FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities
Practice Area:
Professional Liability Defense
Job Tags:
brokers FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities

Liability Attorney Job Title Professional Liability Attorney Job Responsibilities The Professional Liability Attorney will join the Professional Liability Practice at a law firm. The responsibilities include defending professional liability claims involving various professionals such as insurance agents, real estate agents, accountants, architects, engineers, and...

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Posted On Sep 07, 26
Full-time 1 views
Practice Area:
Litigation - Securities Litigation - Defense
Job Tags:
depositions document review financial services litigation FINRA health insurance Insurance Securities
Practice Area:
Litigation - Securities Litigation - Defense
Job Tags:
depositions document review financial services litigation FINRA health insurance Insurance Securities

and registered representatives in FINRA arbitrations concerning securities sales... practices and other related proceedings. The associate will work collaboratively within a cross-office team, requiring strong case management skills and the ability to work directly with clients. Key responsibilities include:...

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Attorney in San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

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Posted On Jun 10, 26
Full-time 11 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 responsible for providing critical leadership in proactive regulatory risk assessment and the development of regulatory strategy. This role is essential for enabling Surveillance to effectively...

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Attorney in San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

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Posted On Jul 26, 26
Full-time 1 views
Job Tags:
Affirmative Action blockchain child Code of Conduct Cybersecurity domestic partner family FINRA fraud Insurance invention Money Laundering Securities spouse
Job Tags:
Affirmative Action blockchain child Code of Conduct Cybersecurity domestic partner family FINRA fraud Insurance invention Money Laundering Securities spouse

Title: Senior Principal Investigator, Crypto Asset Investigations - Blockchain Technology Job Responsibilities: The Senior Principal Investigator in Crypto Asset Investigations for Blockchain Technology acts as an expert within the organization, utilizing specialized knowledge in crypto assets, blockchains, smart contracts, and other...

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Attorney in San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

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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, exercising 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 San Francisco, CA

Public Interest • **Members Only** San Francisco, CA

Apply
Posted On Aug 20, 26
Full-time 1 views Experience : 2-10 yrs required
Job Tags:
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:
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 Exam and Regulatory Conduct Job Responsibilities: The Director of the Crypto Exam and Regulatory Conduct team is tasked with leading a team of investigators focusing on crypto-related investor protection risks, market conduct rules, and regulatory obligations. The...

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Posted On Aug 24, 26
Full-time Experience : 2-11 yrs required
Practice Area:
Litigation - Financial Services - Defense
Practice Area:
Litigation - Financial Services - Defense

Francisco. This full-time position is ideal for 4th to 6th year associates interested in financial services litigation, particularly in representing broker-dealers and registered representatives in FINRA issues and conduct... research for drafting briefs on sophisticated legal in FINRA...

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