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  1. Legal Jobs
  2. Browse Legal Jobs
  3. Pennsylvania
  4. Conshohocken
  5. Finra
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United States
Posted On Aug 26, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership

Title: AVP, Sr. Counsel, Broker-Dealer and Investment Advisor Job Responsibilities: - Provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. - Partner with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations, and...

Posted On Jul 06, 26
Full-time 2 views Experience : 10-10 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements Broker Dealer contracts distribution agreements financial products FINRA Insurance marketing
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements Broker Dealer contracts distribution agreements financial products FINRA Insurance marketing

Title: AVP, Legal, Distribution Counsel Job Responsibilities: - Provide strategic legal counsel, regulatory guidance, and tactical support to the company's wholesale and retail distribution organizations. - Serve as a trusted legal advisor and subject matter resource on regulatory requirements and industry...

Posted On Sep 09, 26
Full-time Experience : 10-5 yrs required
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
distribution agreements FINRA Insurance regulatory compliance
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
distribution agreements FINRA Insurance regulatory compliance

financial services, insurance, and broker-dealer laws - Stay updated on regulations from FINRA, SEC, DOL, and state... insurance authorities - Collaborate with internal teams to ensure legal compliance in business operations - Draft and review legal documents related to compli...

Posted On Aug 17, 26
Full-time 9 views Experience : Min 8 yrs required
Practice Area:
Finance - General Finance - Banking
Job Tags:
banking child Commercial Lending corporate governance Corporation criminal Ethics finance Financial Industry Regulatory Authority FINRA Insurance lending licensing pension Privacy regulatory compliance securitization spouse title underwriters
Practice Area:
Finance - General Finance - Banking
Job Tags:
banking child Commercial Lending corporate governance Corporation criminal Ethics finance Financial Industry Regulatory Authority FINRA Insurance lending licensing pension Privacy regulatory compliance securitization spouse title underwriters

Title Senior Counsel--Corporate and Commercial Banking Job Responsibilities The Senior Counsel at the company will be part of the Business & Finance Legal Group (B&F Legal), which consists of approximately 65 attorneys and paralegals within the company's legal department. This...

Posted On Aug 17, 26
Full-time 8 views Experience : 6-10 yrs required
Practice Area:
Finance - Financial Services Regulation
Job Tags:
40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title
Practice Area:
Finance - Financial Services Regulation
Job Tags:
40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title

Counsel Job Title Senior Counsel Job Responsibilities - Serve as a senior legal advisor to a registered investment adviser sub-advising private credit funds, including those registered under the Investment Company Act of 1940. - Provide primary legal support on matters under the Investment Advisers Act...

Posted On Aug 17, 26
Full-time 7 views Experience : Min 8 yrs required
Practice Area:
Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - General
Job Tags:
advertising agreements asset management child Contract Law Corporation criminal derivatives ERISA plans ETFs Ethics fiduciary Financial Industry Regulatory Authority FINRA hedge funds Insurance investment management licensing Mutual Funds pension Privacy regulatory compliance special projects spouse title
Practice Area:
Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - General
Job Tags:
advertising agreements asset management child Contract Law Corporation criminal derivatives ERISA plans ETFs Ethics fiduciary Financial Industry Regulatory Authority FINRA hedge funds Insurance investment management licensing Mutual Funds pension Privacy regulatory compliance special projects spouse title

Title: Senior Counsel, Asset Management Job Responsibilities: - Engage in substantial contract drafting and negotiation, including agreements with mutual funds, subadvisors, model providers, private funds, and other vendors, as well as customer agreements. - Possess extensive knowledge of investment management functions such as...

Posted On Aug 26, 26
Full-time 3 views Experience : Min 3 yrs required
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title

Title: Wealth Strategist II Job Responsibilities: - Develops, consults on, and implements tax, estate, and financial plans for clients. - Collaborates with more senior planning resources on complex matters and specific subject matters. - Partners in acquiring new clients and works to retain, expand,...

Posted On Aug 18, 26
Full-time 7 views Experience : 8-8 yrs required
Job Tags:
banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management
Job Tags:
banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management

Title: Wealth Advisor III Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth wealth clients, focusing on developing and deepening client relationships through needs-based, high-level client service. - Deliver the full suite of company wealth...

Posted On Jul 08, 26
Full-time 2 views Experience : 7-10 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
FINRA Securities securities laws
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
FINRA Securities securities laws

brokerage and wealth platform. - Advise on the design, distribution, and oversight of brokerage capabilities and investment products. - Provide legal guidance on regulatory requirements under the Securities Exchange Act, FINRA rules, and other applicable... laws. - Manage complex legal projects and initiativ...

Posted On Aug 11, 26
Full-time 1 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Financial Services Law FINRA investment management Mutual Funds Partnership private equity title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
ETFs Financial Services Law FINRA investment management Mutual Funds Partnership private equity title

Assistant General Counsel, Retail Brokerage Platform Job Responsibilities: The Assistant General Counsel for the Retail Brokerage Platform at the company plays a crucial role in supporting the Personal Wealth business, specifically focusing on the retail brokerage and wealth platform that serves over...

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