Entry Level Broker Dealer Attorney Jobs in Pennsylvania

Temporary Supervisory Attorney Adviser, SK-15 Duties: The... candidate will participate in planning and conducting securities compliance examinations. Will apply judgement and knowledge of the securities industry to FSIO's oversight functions. Provide advice and technical support for examinations in areas related to self-regulatory organizations (SRO) and broker-dealers registered under the Securities... Exchange Act of 1934. Conduct interviews of SRO personnel. Conduct research a... 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Note: This job is no longer active.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

Supervisory Attorney-Adviser - SK 15 The... candidate will join a well-respected team that is responsible for supporting OCIE's mission to conduct and coordinate the nationwide examination program for entities over which the Commission has regulatory authority. As a Supervisory Attorney-Adviser, will: Participate in planning... and conducting securities compliance examinations; Apply judgement and knowledge of the securities industry to FSIO's oversight functions; Provide advice a... 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Note: This job is no longer active.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

Counsel In House Duties: Provides legal support services to the entire company and its affiliated companies and departments which includes, entity and contract management, policies, compliance, litigation and claims management, risk management and general corporate and business matters. The scope of support services is multi-faceted, yet primarily based on the core areas of real estate, lending, finance, and investments. Obtain PA Real Estate Brokers License and se... 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 perform duties include : Advising on the creation and monitoring of stable value and market-valued investment products in a way that anticipates and mitigates legal and regulatory risks. Should have knowledge of insurance laws, securities law exemptions and the aspects of ERISA that apply to retirement plans and products. Broker-dealer/FINRA expertise is a plus.... Must have a law degree, be admitted to the bar in at least one US state and e... 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

Staff Attorney, Division of Enforcement The... applicant will encompass a wide range of conduct including insider trading, market manipulation, financial reporting and accounting fraud, offering fraud and violations by professional market intermediaries (broker-dealers, transfer agents, investment companies,... investment advisers) and persons associated with them. Work on cases involving a number of such kinds of violations and to play important and responsible roles in the inves... 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

Responsibilities: Providing legal support to investment management company on general corporate matters, including transactions (mergers and acquisitions) involving corporations, partnerships and limited liability companies; negotiation of service agreements and other contracts, and corporate governance matters (preparation of agendas, resolutions and other materials for board meetings; working with corporate charter documents). Developing new investment products or... 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

This position will be responsible for providing legal support to investment management company on general corporate matters, including transactions (., mergers and acquisitions) involving corporations, partnerships and limited liability companies. Will negotiate service agreements and other contracts matters; corporate governance matters (., preparation of agendas, resolutions and other materials for board meetings; working with corporate charter documents, etc... 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

Looking for a Trial Attorney(SI)SK-0905-16. The candidate will... be responsible for taking the lead in the trial of complex securities cases before both federal courts and administrative law judges. In the course of these duties, the attorney trains, plans, organizes, and... directs a team including several other professional employees. The candidate will provide litigation-related counsel and advice concerning pending cases or legal/policy questions relating to statutes; engag... 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

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

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