Broker Dealer Attorney Jobs in California
-
Corporate - Securities and Capital Markets Attorney in Newport Beach, CA
Newport Beach, CA
Type: Full Time | Posted Date: May 28, 2024
SUMMARY: Law Firm Seeking Broker-Dealer Regulatory Attorney with Industry Experience H1: Join Our Team as an Experienced Broker-Dealer Regulatory Attorney H2: Work with Holland & Knight, a Leading Law Firm Are you an experienced attorney with a strong understanding of the securities brokerage industry...
-
Corporate - Securities and Capital Markets Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: May 29, 2024
SUMMARY: Law Firm Seeks Broker-Dealer Regulatory Attorney with Industry Experience - Salary Information Included H1: Holland & Knight Seeks Experienced Broker-Dealer Regulatory Attorney H2: Join Our Team at a Leading Law Firm - Salary Information Available Holland & Knight, a top law firm in the secur...
-
Corporate - Securities and Capital Markets Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: May 29, 2024
SUMMARY: Holland & Knight, a leading law firm, is seeking a highly skilled and motivated Broker-Dealer Regulatory Attorney to join our team. This position is open for an Associate with prior industry experience or experience in the regulation of broker-dealers. We are looking for a self-starter with a strong...
-
Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Jun 11, 2024
SUMMARY: ...
-
Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: Jun 10, 2024
SUMMARY: LPL Financial, a leading independent broker-dealer and registered investment advisor, is looking for an experienced Assistant General Counsel to join our legal team in either Boston, MA, Fort Mill, SC or San Diego, CA. In this role, you will be responsible for contracting with alternative investment...
Finance - General Attorney in Stanford, CA
Stanford, CA
Type: Full Time | Posted Date: Jun 05, 2024
SUMMARY: SEO Friendly Job Title: Senior Counsel for Regulatory Analysis and Contract Negotiations in the Financial Services Industry at sFOX H1: Join sFOX as our Senior Counsel for Regulatory Analysis and Contract Negotiations H2: Opportunity at sFOX for a Senior Counsel with Extensive Experience in Fi...
Tax - General Attorney in Costa Mesa, CA
Costa Mesa, CA
Type: Full Time | Posted Date: Jun 02, 2024
SUMMARY: Summary: - Job title: Tax Senior Manager - Investment Management - Private Equity (West Region Office Locations) - Experience: 8 years total corporate or international tax experience - Salary range: $119,490 to $272,090 (not adjusted for geographic location) - Company: Deloitte Tax LLP - Dep...
Corporate - Contract Law Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: May 27, 2024
SUMMARY: The AVP, Associate Counsel will be responsible for providing legal advice and support to LPL Financial in the areas of brokerage, product, and business support. This role will involve negotiating contracts with mutual fund, alternative investment, advisory platform, insurance, and annuity issuers. T...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: May 24, 2024
SUMMARY: Organization: FINRA Department: Office of General Counsel Location: Washington, DC Salary: R-008031: Assistant General Counsel, Regulatory Assistant General Counsel, Regulatory – Full Time Purpose and Meaning in Work – Join Us at FINRA! As a not-for-profit organization operating ...
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: May 19, 2024
SUMMARY: : Senior Litigation Counsel, Enforcement - Any FINRA Location Salary: - California: Minimum Salary $146,200, Maximum Salary $296,100 - Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800 - Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600 - New York, NY: Minimu...
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: May 19, 2024
SUMMARY: Senior Litigation Counsel, Enforcement - Any FINRA Location Overview: The Senior Litigation Counsel, Enforcement will have the opportunity to work on complex disciplinary and non-disciplinary proceedings nationwide, as well as brief and argue appeals before the National Adjudicatory Council (N...
Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Jun 13, 2024
SUMMARY: Summary: Investigative Director, Specialist Team - All FINRA Locations FINRA is seeking an Investigations Director, Specialist Team, to manage examinations and investigations of broker-dealers' compliance with applicable rules and regulations, and financial crimes. This is a senior-level posit...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Jun 13, 2024
SUMMARY: Investigative Director, Specialist Team - All FINRA Locations Apply Logo time type Full time posted on Posted Today job requisition id R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable r...
Attorney in Los Angeles, CA
Los Angeles, CA
Type: Full Time | Posted Date: Jun 10, 2024
SUMMARY: Director, Risk Monitoring - Capital Markets - Any FINRA Location Full Time Job Requisition ID: R-008111 Job Title: Director, Risk Monitoring - Capital Markets Experience: MBA, JD, other graduate degree and/or relevant industry certification(s) preferred. Organization: FINRA Departm...
Litigation - Securities Litigation - Defense Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: May 08, 2024
SUMMARY: FINRA is seeking a Principal Counsel, Enforcement to join our team in various locations across the US. This position offers a competitive salary and benefits package, including a discretionary bonus, comprehensive health, dental and vision insurance, 401(k) plan with company match, and many other be...
Corporate - Asset/Investment Management Attorney in San Diego, CA
San Diego, CA
Type: Full Time | Posted Date: May 02, 2024
SUMMARY: Why LPL? At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that...
Litigation - White Collar Crime & Government Investigations Attorney / Litigation - White Collar Crime & Government Investigations - Defense Attorney / Litigation - White Collar Crime & Government Investigations - Plaintiffs Attorney in San Francisco, CA
San Francisco, CA
Type: Full Time | Posted Date: Mar 22, 2024
SUMMARY: SEO friendly job title: Senior Director, Special Investigations Unit - FINRA - Full Time H1: Senior Director, Special Investigations Unit - Any FINRA Location H2: About FINRA's Special Investigations Unit (SIU) Salary Information: - Minimum salary: $149,600 - Maximum salary: $351,200 - Actua...
Law Student - Public Interest in Irvine, CA
Irvine, CA
Type: Part Time | Posted Date: Apr 05, 2024
SUMMARY: Fall 2024 Legal Intern - Part Time Join the PCAOB and make a difference in global investor protection. Organization Overview Nonprofit organization established by Congress to oversee audits of public companies and SEC-registered brokers and dealers Mission to protect investors and prom...
Law Student - Public Interest in Los Angeles, CA
Los Angeles, CA
Type: Part Time | Posted Date: Apr 05, 2024
SUMMARY: Fall 2024 Legal Intern - Part Time: Join a Dynamic Organization Focused on Global Investor Protection Do you have a passion for promoting investor protection and upholding the highest standards of ethical and professional conduct? Then join us at the Public Company Accounting Oversight Board (PCA...