Entry Level Regulatory Broker Dealer Securities 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Note: This job is no longer active.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Note: This job is no longer active.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

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

Associate Counsel/Counsel Candidate will provide day-to-day legal support for the company’s Annuities segment, covering the entire life cycle of annuities products, including manufacturing (application of insurance, contract, consumer protection, and other applicable laws), marketing, distribution through an affiliated broker-dealer network and other channels... and issues relating to the administration of existing products. Businesses covered will include both a substantial... 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 The candidate will provide day-to-day legal support for the US Annuities business, covering the entire life cycle of annuities products, including manufacturing (application of insurance, contract, consumer protection, and other applicable laws), marketing, distribution through an affiliated broker-dealer network and other channels... and issues relating to the administration of existing products. Will have the opportunity to provide legal support in relation to broader... 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 Officer Attorney - The function of... this managerial position is to provide overall management direction for the examination program in the Philadelphia District Office. The incumbent will be responsible for compliance and examination activities for investment advisers; investment companies and related transfer agents within the Region or District and/or compliance and examination activities for broker-dealers and transfer agents located... within the Region or District. Th... 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 global leader in its field as a service provider to the financial services industry, seeks a business lawyer with commercial contracts or transactional experience involving broker-dealers. Broker dealer experience on... the regulatory/compliance side alone is not... enough; the lawyer also must have commercial contracts or transactional experience. The sells include the company's growth, stability, standing as a leader in its field and its first class law department.... 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

Corporate Lawyer Should have some transactional or commercial contracts experience involving broker-dealers and a solid understanding... of the regulatory framework involving broker dealers... and a good... working knowledge of the Securities Act of 1933, the... Exchange Act of 1934, the Investment Company Act of 1940 and of ERISA matters pertaining to fiduciary duties and obligations and trust matters.... 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