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General Counsel Broker Dealer Jobs in Pennsylvania

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General Counsel Broker Dealer Jobs in Pennsylvania - Related Job Titles

Corporate Securities Counsel
United States
Posted On Oct 06, 26
Full-time
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements contracts family Financial Institutions Insurance Privacy Software special projects
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements contracts family Financial Institutions Insurance Privacy Software special projects

Job Title: Counsel Job Responsibilities: - Draft, review,... to the company's subsidiary broker-dealers. - Research and provide legal... advice regarding broker-dealer and mutual fund distribution,... interact with clients, outside counsel, service providers, and others... regarding contract terms and conditions. - Keep abreast of...

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Posted On Oct 04, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Administrative Law Government and Government Relations Government - General
Job Tags:
FINRA Securities Securities Exchange Act of 1934 swaps
Practice Area:
Administrative Law Government and Government Relations Government - General
Job Tags:
FINRA Securities Securities Exchange Act of 1934 swaps

Regulatory Counsel Job Title: Regulatory Counsel Job Overview:... to join the Regulatory Counsel Team within the Compliance... department at the Bala Cynwyd headquarters. The team is responsible for providing legal and regulatory guidance to support the company's compliance program and interacts closely...

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Posted On Oct 07, 26
Full-time
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements contracts family Financial Institutions Insurance Privacy Software special projects
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements contracts family Financial Institutions Insurance Privacy Software special projects

to the company's subsidiary broker-dealers and other complex agreements. -... Provide legal advice and research to company business units concerning broker-dealer and mutual fund distribution,... addressing related regulatory and compliance issues. - Communicate with clients, outside counsel, service providers, and other... stakeholders...

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Posted On Sep 28, 26
Full-time 5 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title

Job Title: Senior Counsel--Investment Advisor Job Responsibilities: - Serve as... a legal advisor to one or more registered investment advisers that manage private credit funds and other investment vehicles, including funds registered under the Investment Company Act of 1940. - Provide legal support...

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Posted On Sep 28, 26
Full-time Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation Corporate - General Finance - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title

Job Title: Senior Counsel--Investment Advisor Job Responsibilities: - Serve as... a legal advisor to one or more registered investment advisers that advise private credit funds and other investment vehicles, including certain funds registered under the Investment Company Act of 1940. - Provide legal...

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Posted On Sep 29, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Administrative Law Government - General
Job Tags:
FINRA Securities Securities Exchange Act of 1934 swaps
Practice Area:
Administrative Law Government - General
Job Tags:
FINRA Securities Securities Exchange Act of 1934 swaps

Title: Attorney - Regulatory Counsel Team Job Responsibilities: - Provide legal... and regulatory guidance to support the company's compliance program. - Interface directly with trading, technology, operations, and legal teams, as well as external regulators and market participants. - Advise company personnel about regulatory...

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Posted On Oct 01, 26
Full-time Experience : Min 1 yrs required
Practice Area:
Administrative Law Government - General Government / Public Law Government and Government Relations
Job Tags:
contracts criminal Ethics evidence federal government FINRA fraud marketing pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title
Practice Area:
Administrative Law Government - General Government / Public Law Government and Government Relations
Job Tags:
contracts criminal Ethics evidence federal government FINRA fraud marketing pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title

aimed at protecting investors, ensuring market integrity, and supporting responsible capital formation. The primary duties include: - Participating in and providing technical assistance and support to examination or inspection activities for broker-dealers. - Collaborating as a team... member with other staff mem...

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Posted On Sep 15, 26
Full-time 3 views Experience : Min 5 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Insurance Coverage Insurance - Regulatory & Compliance
Job Tags:
banking family finance FINRA Insurance insurance coverage Litigation LLC Partnership pleadings Securities wealth management
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Insurance Coverage Insurance - Regulatory & Compliance
Job Tags:
banking family finance FINRA Insurance insurance coverage Litigation LLC Partnership pleadings Securities wealth management

Job Title Assistant General Counsel Job Responsibilities Litigation, Arbitration... includes case strategy, budgeting, and coordination with outside counsel, insurance brokers, and carriers.... - Handle pre-litigation disputes, assessing exposure early and driving matters toward efficient resolution. - Review pleadings, statements of claim/answ...

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Posted On Sep 14, 26
Full-time 5 views Experience : 3-7 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
asset management blockchain Financial Institutions Investment Company Act securities laws

Title: Financial Services Associate Job Responsibilities: The Financial Services Associate will be a part of the Financial Services group within the law firm, which is recognized as a leading adviser to financial services firms, asset managers, and investment funds. The associate will...

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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

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...

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