Post Jobs Upload Your Resume Log in

Finra Jobs in Sunbury

9 jobs
  1. Legal Jobs
  2. Browse Legal Jobs
  3. Ohio
  4. Sunbury
  5. Finra

Preview Results

Here’s a preview of jobs we found from direct employer sources. To protect confidentiality and prevent scraping, full results require an email + account access.

Direct-from-employer coverage Private search Less competition vs. paid ads
Filter by

Sign Up

United States
Posted On Sep 14, 26
Full-time 1 views Experience : Min 8 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - Banking Finance - General
Job Tags:
banking FINRA licensing regulatory compliance securities laws special projects UDAAP wealth management
Practice Area:
Finance - Financial Services Regulation Finance - Banking Finance - General
Job Tags:
banking FINRA licensing regulatory compliance securities laws special projects UDAAP wealth management

Title: Assistant General Counsel - Wealth Management - Vice President Job Responsibilities: - Serve as a primary legal contact supporting company’s wealth management’s bank-based sales channel for the retail investment business. - Act as legal counsel for banking products distributed through company’s wealth...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 11, 26
Full-time 41 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

• Develop and maintain regulatory compliance standards for registered investment adviser and broker-dealer clients • Implement and monitor compliance policies and procedures • Develop strategic vision for compliance functional areas • Maintain regulatory risk and governance oversight • Analyze and...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 14, 26
Full-time 10 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 - Wage and Hour - General 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 - Wage and Hour - General 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 a trusted advisor and...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 21, 26
Full-time 7 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

Title: Wealth Strategist III** **Job Responsibilities:** - Develops, consults on, and implements tax, estate, and financial plans for clients, including those of greater complexity. - Collaborates with other planning resources on specific subject matters of greater complexity and partners in the acquisition of...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 22, 26
Full-time 1 views Experience : Min 4 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements fiduciary fiduciary duty FINRA Government Investment Advisers Act of 1940 investment management marketing special projects wealth management
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements fiduciary fiduciary duty FINRA Government Investment Advisers Act of 1940 investment management marketing special projects wealth management

Title: Legal Counsel for Wealth Management Investment Solutions (VP) in Asset & Wealth Management Job Responsibilities: - Provide strategic and day-to-day legal counsel on discretionary and non-discretionary advisory strategies for various programs distributed in the . and internationally. - Advise on the creation,...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 11, 26
Full-time 34 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...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Jul 20, 26
Full-time 1 views Experience : 8-10 yrs required
Job Tags:
ADA air Asset Protection authors Business Law Employee Rights Estate Planning finance financial products FINRA Harassment Insurance marketing Mutual Funds partnerships pension Qualified Retirement Plans trusts wealth transfer
Job Tags:
ADA air Asset Protection authors Business Law Employee Rights Estate Planning finance financial products FINRA Harassment Insurance marketing Mutual Funds partnerships pension Qualified Retirement Plans trusts wealth transfer

Title: Technical Director, Advanced Consulting Group (Life) Job Responsibilities: As a Technical Director in the Advanced Consulting Group (Life Team) at the company, the primary responsibility is to assist financial professionals in navigating complex domains such as life insurance, wealth transfer, estate...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Aug 30, 26
Full-time 1 views Experience : 8-10 yrs required
Job Tags:
ADA air authors Business Law employee benefits Employee Retirement Income Security Act Employee Rights ERISA Estate Planning fiduciary financial products FINRA Harassment Insurance marketing Mutual Funds partnerships pension Qualified Retirement Plans Retirement Planning
Job Tags:
ADA air authors Business Law employee benefits Employee Retirement Income Security Act Employee Rights ERISA Estate Planning fiduciary financial products FINRA Harassment Insurance marketing Mutual Funds partnerships pension Qualified Retirement Plans Retirement Planning

Title: Technical Director, Advanced Consulting Group (Retirement) Job Responsibilities: As a Technical Director within the Advanced Consulting Group, your role will be pivotal in shaping the future of retirement planning at the company. You will be responsible for driving sales of life...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Aug 14, 26
Full-time 29 views Experience : 4-20 yrs required
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management
Practice Area:
Corporate - Compliance Corporate - Asset/Investment Management

Title: Chief Compliance Officer Or Senior CounselJob Overview: A distinguished law firm based in Columbus, OH is seeking an accomplished compliance and legal professional with deep experience in investment regulation to serve in a senior leadership capacity. This position will play...

Sign In or Sign Up in seconds to view this job on LawCrossing.

By Employer Type

In-House Law Firm Recruiter
Narrow Your Search Results - Try Advanced Search
Share these jobs with a friend