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Finra Jobs in Thomasville

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United States
Posted On Aug 14, 26
Full-time 11 views Experience : Min 5 yrs required
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Finance - General Finance - Banking Corporate - General
Job Tags:
articles of incorporation contracts finance FINRA letters of intent limited liability companies Litigation Securities Software stock certificates UCC
Practice Area:
Corporate - M&A Corporate - Securities and Capital Markets Finance - General Finance - Banking Corporate - General
Job Tags:
articles of incorporation contracts finance FINRA letters of intent limited liability companies Litigation Securities Software stock certificates UCC

Title: Paralegal - Business (Atlanta) Job Responsibilities: - Follow the ethical requirements set forth by the Rules of Professional Conduct of the applicable jurisdiction. - Clearly communicate in a concise (oral and written), professional manner. - Proactively provide support to attorneys...

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Posted On Jul 21, 26
Full-time 2 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements conflict resolution contracts Corporate Law document review FINRA Investment Advisers Act of 1940 pleadings regulatory compliance Securities Securities Exchange Act of 1934 securities laws
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements conflict resolution contracts Corporate Law document review FINRA Investment Advisers Act of 1940 pleadings regulatory compliance Securities Securities Exchange Act of 1934 securities laws

Title: Associate Attorney Job Responsibilities: - Conduct legal research and draft various legal documents. - Maintain organized client files and assist with legal counsel. - Provide legal defense and compliance oversight for broker-dealers (BD) and registered investment advisers (RIA). - Advise clients on compliance with...

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Posted On Sep 18, 26
Full-time 1 views Experience : 6-10 yrs required
Practice Area:
Corporate - Asset/Investment Management ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fraud fund formation Insurance investment management pension special projects trusts
Practice Area:
Corporate - Asset/Investment Management ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fraud fund formation Insurance investment management pension special projects trusts

Title Attorney - Institutional Asset Management Job Responsibilities - Support investment advisory activities across various platforms, including insurance company general accounts, private funds, collective investment trusts (CITs), separately managed accounts, commingled funds, and pension and retirement-related investment products. - Support strategic investment...

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Posted On Sep 21, 26
Full-time Experience : 6-12 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts

Title: Vice President II - Counsel — Institutional Asset Management Job Responsibilities: - Support investment advisory activities across various platforms, including insurance company general accounts, private funds, collective investment trusts (CITs), separately managed accounts, commingled funds, and pension and retirement-related investment products. -...

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Posted On Aug 07, 26
Full-time 1 views Experience : 6-12 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
asset management confidentiality agreements due diligence ERISA family FINRA fund formation Insurance investment management pension special projects trusts

Title: Attorney - Legal Department, Institutional Asset Management Job Responsibilities: - Provide legal support across the institutional asset management platform, working closely with investment portfolio managers, product teams, client onboarding teams, and business leaders. - Support investment advisory activities for various platforms including...

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Posted On Sep 25, 26
Full-time Experience : Min 15 yrs required
Practice Area:
Professional Liability Defense Insurance Defense - General Personal Injury Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities
Practice Area:
Professional Liability Defense Insurance Defense - General Personal Injury Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities

Title: Professional Liability Attorney Job Responsibilities: - Defend professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Represent professionals including accountants, architects & engineers, attorneys, bankers, computer and media professionals (cyber law), financial planners, healthcare...

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Posted On Sep 25, 26
Full-time Experience : Min 15 yrs required
Practice Area:
Professional Liability Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities
Practice Area:
Professional Liability Defense
Job Tags:
brokers directors FINRA Insurance Litigation Media professional liability Professional Liability Law school districts Securities

Title: Professional Liability Attorney Job Responsibilities: - Defend professional liability claims involving Directors & Officers, Legal Malpractice, Errors & Omissions, and Architects & Engineers. - Conduct strong research and develop comprehensive legal writing. - Represent a wide range of professionals either through direct engagement...

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Posted On Sep 21, 26
Full-time 29 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 - Atlanta: - Job Title: Wealth Advisor III - Location: Atlanta, Georgia, USA - Category: Wealth, Brokerage and Premier Banking - Employment Type: Regular - Language Fluency: English (Required) - Work Shift: 1st shift (United States of...

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Posted On Sep 25, 26
Full-time 1 views Experience : 2-5 yrs required
Practice Area:
Data Privacy - Transactional Corporate - Compliance Corporate - Securities and Capital Markets Corporate - General
Job Tags:
advertising Corporate Law Ethics FCC Financial Industry Regulatory Authority FINRA FLSA Insurance Legislation and Regulation marketing Privacy Securities Women
Practice Area:
Data Privacy - Transactional Corporate - Compliance Corporate - Securities and Capital Markets Corporate - General
Job Tags:
advertising Corporate Law Ethics FCC Financial Industry Regulatory Authority FINRA FLSA Insurance Legislation and Regulation marketing Privacy Securities Women

Title Senior Legal Counsel Job Responsibilities - The Senior Legal Counsel will independently review advertising materials to ensure compliance with applicable laws and brand requirements, provide legal advice on content, and advise on disclosure requirements and guidelines. - Facilitate compliance with broker-dealer and investment...

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Posted On Jul 08, 26
Full-time 2 views Experience : 4-5 yrs required
Practice Area:
Data Privacy - Transactional
Job Tags:
Media Women
Practice Area:
Data Privacy - Transactional
Job Tags:
Media Women

Title: AVP, Lead Assistant General Counsel, Internet Compliance Attorney Job Responsibilities: The AVP, Lead Assistant General Counsel, Internet Compliance Attorney is responsible for leading internet and social media compliance efforts across the organization. This mid- to senior-level role includes the following...

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