Post Jobs Upload Your Resume Log in

Pennsylvania Regulatory Broker Dealer Securities Attorney Jobs in Recruiter

1 jobs
  1. Legal Jobs
  2. Browse Legal Jobs
  3. Attorney By State
  4. Pennsylvania
  5. Regulatory Broker Dealer Securities Attorney
  6. Recruiter

Preview Results

Here’s a preview of jobs we found from direct employer sources. To protect confidentiality and prevent scraping, full results require an email + account access.

Direct-from-employer coverage Private search Less competition vs. paid ads
Filter by

Sign Up

Pennsylvania Regulatory Broker Dealer Securities Attorney Jobs in Recruiter - Related Job Titles

Closing AttorneyRegulatory Litigation AttorneyTemporary Regulatory Paralegal Temporary Securities Paralegal
United States
Posted On Jul 14, 26
Full-time 5 views Experience : 2-13 yrs required
Practice Area:
Fintech & Blockchain Finance - Financial Services Regulation Finance - General
Practice Area:
Fintech & Blockchain Finance - Financial Services Regulation Finance - General

candidate will possess a strong understanding of federal securities laws and will work... with a diverse range of clients, from small start-ups to large financial institutions, advising on fund structures and regulatory clients on cross-border... registration and regulatory examinations....

Sign In or Sign Up in seconds to view this job on LawCrossing.

Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.

  • ✅ LawCrossing has monitored employer hiring for 25+ years
  • ✅ Archived jobs include the original post date for transparency
  • ✅ Over 50% of LawCrossing job seekers find success this way

In-House Regulatory and Commercial Counsel The... candidate must have 5+ years of strong commercial and regulatory experience, including contract drafting... and review, reading and interpreting contracts and regulations, insurance regulatory experience, broker-dealer regulatory experience,... and general commercial work. Experience with state insurance work is required. Corporate M & A exposure helpful. Open to candidates with law firm and/or in-house experience.... 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 wi... 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

Seeking a Junior to Mid-level Associate to join the Investment Management Practice Group. Candidate's role will involve counseling top-tier securities and investment management firms... on regulatory matters under the federal... securities, with particular focus on... investment adviser registration and regulation, the development of wrap and managed account programs, SEC examinations, corporate and transactional matters. Candidate must have an interest in and prior experience with in... 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

Seeking a Junior to Mid-level Associate to join the Investment Management Practice Group. Candidate's role will involve counseling top-tier securities and investment management firms... on regulatory matters under the federal... securities, with particular focus on... investment adviser registration and regulation, the development of wrap and managed account programs, SEC examinations, corporate and transactional matters. Candidate must have an interest in and prior experience with in... 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

Director and Counsel - BD/Insurance Regulatory The candidate will perform... research and analysis and provide advice on a wide array of legal issues that arise. Provide comprehensive legal advice and solutions to complex problems or needs. This would include: negotiating agreements and drafting contracts for complicated services and relationships related to the Company's insurance and broker-dealer operations. Responsible for reading... and interpreting regulations, . Non-Disc... 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 Compliance Associate The candidate will assist the Chief Compliance Officer in the development, maintenance, and management of compliance programs pursuant to the Investment Advisers Act of 1940. Will assist the Chief Compliance Officer in administering all aspects of compliance programs for registered broker dealer and registered investment... advisors. Additionally, responsibilities include conducting registered office inspections; administering Code of Ethics reportin... 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

Regulatory and Commercial Counsel The... ideal candidate should have 5+ years of experience in broker-dealer regulation, insurance regulation, and... general commercial experience. Significant experience reading and interpreting regulations is required. Experience with state insurance work is required. Strong drafting skills are required. Corporate M&A exposure is helpful. Candidates with law firm and/or in-house experience will be considered.... 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

Seeking a Junior to Mid-level Associate to join the Investment Management Practice Group. Candidate's role will involve counseling top-tier securities and investment management firms... on regulatory matters under the federal... securities, with particular focus on... investment adviser registration and regulation, the development of wrap and managed account programs, SEC examinations, corporate and transactional matters. Candidate must have an interest in and prior experience with in... 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 Compliance Associate The candidate will assist the Chief Compliance Officer in the development, maintenance, and management of compliance programs pursuant to the Investment Advisers Act of 1940. Will assist the Chief Compliance Officer in administering all aspects of compliance programs for registered broker dealer and registered investment... advisors. Additionally, responsibilities include conducting registered office inspections; administering Code of Ethics reportin... 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

Seeking a Junior to Mid-level Associate to join the Investment Management Practice Group. Candidate's role will involve counseling top-tier securities and investment management firms... on regulatory matters under the federal... securities, with particular focus on... investment adviser registration and regulation, the development of wrap and managed account programs, SEC examinations, corporate and transactional matters. Candidate must have an interest in and prior experience with in... 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

Narrow Your Search Results - Try Advanced Search
Share these jobs with a friend
Narrow your search further using one of the following locations:  Pennsylvania  Pennsylvania, AL