Entry Level Broker Dealer Attorney Jobs in Philadelphia

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Note: This job is no longer active.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

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Note: This job is no longer active.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

Temporary Supervisory Attorney Adviser Duties: The candidate... will join a team that is responsible for risk identification, data and analytical projects - both created within the Office of Risk Analysis and Surveillance and as part of larger Commission-wide work streams with internally created and commercially available products. Direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs. Assign work taking 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

Temporary Supervisory Attorney Adviser, SK 17 Duties:... The candidate will join a team that is responsible for risk identification, data and analytical projects - both created within the Office of Risk Analysis and Surveillance and as part of larger Commission-wide work streams with internally created and commercially available products. Direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs. Assign work t... 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 Duties:... The candidate will direct employees responsible for working and/or consulting with a variety of individuals in the conduct of legislated programs. Produce well-constructed written reports and presentations whose audience includes senior staff from across the Division and the SEC. Serve as a member or supervisor of an examination team in an audit or examination program of a federal, state or regulatory body in the securities or fina... 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

Investment Management Attorney The candidate should be... an experienced attorney, with recognized '40 Act... credentials. Must have substantive broker-dealer, registered funds, UCITs, ETF,... Asian securities and/or private fund 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

Investment Management Attorney The candidate should be... an experienced investment management attorney, with recognized '40 Act... credentials. Should have substantive broker-dealer, registered funds, UCITs, ETF,... Asian securities and/or private fund 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

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

Regulatory Counsel to assist the Chief Compliance Officer in the representing the firm on regulatory matters and be responsible for the enhancement and maintenance of internal policies and procedures in connection with FINRA and SEC requirements. The company seeks a lawyer with at least six years of experience dealing with compliance and regulatory issues in the investment management industry (fixed income or private equity), and with familiarity with SEC regulations.... 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