Senior SEC/FINRA Project Attorney

We are seeking a senior attorney to handle legal matters related to compliance with U.S. securities laws and regulations, particularly those overseen by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The role may involve ensuring that the firm adheres to SEC regulations, participating in regulatory...

We are working with a well known New York based global financial services company seeking a senior attorney to handle legal matters, forty hours(40) per week with the hybrid expectation of three (3) days in office, through mid-December 2024, related to compliance with U.S. securities laws and regulations, particularly those overseen by the Securities and...

We are working with a well known New York based global financial services company seeking a senior attorney to handle legal matters, forty hours(40) per week with the hybrid expectation of three (3) days in office, through mid-December 2024, related to compliance with U.S. securities laws and regulations, particularly those overseen by the Securities and...

We are seeking a senior attorney to handle legal matters related to compliance with U.S. securities laws and regulations, particularly those overseen by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The role may involve ensuring that the firm adheres to SEC regulations, participating in regulatory...

Manage the maintenance of test questions and content outlines for securities industry/client qualification examinations. Conduct content committee meetings and manage the performance and productivity of committee members. Assist in conducting job analysis studiesEssential Job Functions: Exam management and item bank maintenance – Maintain and augment...

Position: Senior Attorney/ Partner Type: Full-Time (Hybrid)Location: New York, NY 10006 The firm urgently seeking a senior attorney to join our securities group in NY. This person can be a senior associate or even partner – they need to be able to run their own cases and manage 1-2 associates. FINRA experience is preferred. Your responsibilities will...

Position: Senior Attorney/ Partner Type: Full-Time (Hybrid)Location: New York, NY 10006 The firm urgently seeking a senior attorney to join our securities group in NY. This person can be a senior associate or even partner – they need to be able to run their own cases and manage 1-2 associates. FINRA experience is preferred. Your responsibilities will...

Job Title: Senior Project Manager - FINRAJob Summary: We are seeking a Senior Project Manager to join our team at PTR Global. The ideal candidate will have a minimum of 8 years of experience in project management, preferably in a senior role, and experience with Capital Markets Transformation.Key Responsibilities:Lead project teams to ensure timely execution...

About the Role:We are seeking a highly skilled Regulatory Attorney to join our In-House legal team at Page Executive.Key Responsibilities:Navigate complex regulatory frameworks and apply to the company's marketplace of financial products, compliance solutions, and portfolio construction capabilities.Guide the business on 1940 Act experience, Securities Act...

CONTRACTOR - Regulatory Attorney • The person will join more senior attorneys in the Legal Department providing regulatory advice on a high profile 2 year regulatory implementation project on U.S. Treasury Clearing, working side-by-side with colleagues in Compliance, Operations, Front Office and other functions of a bank/broker-dealer.• The regulatory...

CONTRACTOR - Regulatory Attorney • The person will join more senior attorneys in the Legal Department providing regulatory advice on a high profile 2 year regulatory implementation project on U.S. Treasury Clearing, working side-by-side with colleagues in Compliance, Operations, Front Office and other functions of a bank/broker-dealer.• The regulatory...

Role: Senior Project Manager - FINRA Location: NYC, NY(Hybrid 2/3 days onsite)Duration: 12 Month Contract (Possible Extension or Hire)Senior Project Manager - FINRA 4210The role will be part of a central FINRA 4210 Program Management Team, charged with ensuring the timely execution of deliverables across all workstreams whilst imparting subject matter...

Job SummaryWe are seeking a highly skilled Content Manager, Associate Principal, to join our team at FINRA. In this role, you will be responsible for managing the maintenance of test questions and content outlines for securities industry/client qualification examinations.Key ResponsibilitiesManage and maintain item banks for securities industry/client...

CONTRACTOR - Regulatory Attorney • The person will join more senior attorneys in the Legal Department providing regulatory advice on a high profile 2 year regulatory implementation project on U.S. Treasury Clearing, working side-by-side with colleagues in Compliance, Operations, Front Office and other functions of a bank/broker-dealer.• The regulatory...

Job DescriptionJob DescriptionPosition Title: Senior Attorney – Securities GroupLocation: New York, NY (Hybrid Schedule)Job Type: Full-TimeSalary: Based on experienceClient industry: LAW FIRMOverview:We are urgently seeking a highly qualified Senior Attorney to join our Securities Group in New York. This position is open to candidates with significant...

Nationally Recognized Law Firm Seeks Senior Associate AttorneyThis is an exciting opportunity for a Senior Associate Attorney with 3-7 years of litigation experience to join a nationally recognized law firm in NY/NJ.About the RoleThe ideal candidate will have a strong background in civil litigation, including experience with employment, securities/FINRA, and...

Job Summary:The Compliance Regulatory and Assurance team at Crédit Agricole CIB Limited is seeking a highly skilled Senior Compliance Project Manager to join their team. As a key member of the team, you will be responsible for providing strategic and centralized management of the supervisory activities of the Firm's regulators and related developments.The...

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.

Our client, a top international financial services company, is seeking an NY barred Broker Dealer attorney for a 2-3 month (approx) duration.Equities and fixed income trading,Related SEC and FINRA regulatory requirements,Muni advisor issuesCFTC Introducing Broker requirements.

We are partnering with a Global Asset Management company that is seeking an experienced attorney to join their Legal team. You will play a lead role in various matters such as fund formation and maintenance, regulatory compliance, negotiating with investors, and more. This position will have a high level of visibility as it involves collaboration with senior...