Pennsylvania Regulatory Broker Dealer Securities Attorney Jobs in In-House

Associate Counsel The candidate will be responsible for providing legal support on a wide variety of matters, including general commercial matters, broker-dealer and securities sales issues,... and insurance regulatory requirements, to various clients... within the company. Prior experience in regulated financial industries, particularly insurance, securities or broker-dealer, is a plus. Perform... research and analysis and provide advice on a wide array of legal matters that may ari... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Associate Counsel The candidate will be responsible for providing legal support on a wide variety of matters, including general commercial matters, broker-dealer and securities sales issues,... and insurance regulatory requirements, to various clients... within the company. This position interacts with fellow in-house legal personnel as well as multiple Lombard International business units. Prior experience in regulated financial industries, particularly insurance, securities or b... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Legal Counsel Candidate will be responsible for providing legal advice and support to in connection with the negotiation, drafting, interpretation, and renewal of clearing, execution, portal, referral, soft dollar and other agreements. Providing legal advice and support to the compliance staff of the . broker-dealers on regulatory and compliance matters, including... the preparation or review of written submissions by the firm in connection with regulatory examinations and i... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Senior Counsel (Brokerage and/or Software Licensing) The candidate will provide legal advice and support to in connection with the negotiation, drafting, interpretation, and renewal of clearing, execution, portal, referral, soft dollar and other agreements. Will provide legal advice and support to the compliance staff of the US broker-dealers on regulatory and compliance matters, including... the preparation or review of written submissions by the firm in connection with regula... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Chief Counsel II - Investment Advisers and Investment Companies Duties: Will report to Chief Counsel, Broker-Dealer. Will be responsible for... all legal and regulatory matters arising from the... investment management and mutual fund businesses of company's registered investment advisers throughout the United States, including company's capital advisers and company's investments. Will be expected to handle all matters arising out of the assigned businesses and to supervise and ma... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Senior Counsel, Retail Advice (Hybrid) An Investment Management Company is seeking a Senior Counsel to join their Retail Advice Legal Team and provide guidance to advisory offers that serve more than 300,000 individual clients. The successful candidate will have knowledge of the investment industry and an understanding of the Securities Exchange Act of 1934,... the Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC rules, and FINRA rules. Job Responsi... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

General Counsel Duties: Sets team objectives, goals, and action plans. Provides legal counsel, compliance guidance and interprets complex federal and state laws to support new product development, new product advertising, product management, and sales and marketing. Works proactively with business partners to identify legal issues and manage risk within their specialized area(s) of legal practice. Frequently manages external counsel on outsourced legal initiatives... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Insurance Regulatory Attorney The candidate will... provide advice across all business segments on legal and insurance regulatory issues. Negotiate numerous standard... and complex corporate and commercial agreements ranging from nondisclosure agreements to a variety of complex broking, consulting, investment, insurance, and other contracts while balancing appropriate legal and business risks. Work with cross-functional teams (corporate development, sales, strategy, marketing, IT,... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Vice President, Corporate Counsel, Retail Investment Advice Responsibilities: Providing thought leadership and support as a key member of the distribution legal team. Addressing a full range of issues related to investment advisory business. Providing strategic advice to the business on new initiatives. Interacting with senior business leaders. Providing legal and regulatory advice and counsel to... the retail broker-dealer with a concentration on... investments, variable annuitie... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Corporate Counsel The candidate will support more than one business line within read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here