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General Counsel Broker Dealer Jobs in Philadelphia

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General Counsel Broker Dealer Jobs in Philadelphia - Related Job Titles

Corporate Securities Counsel
United States
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...

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...

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...

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...

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...

Posted On Oct 01, 26
Full-time 1 views Experience : Min 3 yrs required
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters
Practice Area:
Insurance Defense - General
Job Tags:
brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters

Title: Senior Claims Specialist Job Responsibilities: - Manage complex Employment Practices Liability Claims by investigating, analyzing, and evaluating coverage to determine appropriate valuation and settlement strategies, ensuring adherence to company policies. - Handle and develop knowledge in Fiduciary Claims. - Attend mediations and monitor...

Posted On Oct 05, 26
Full-time Experience : 7-10 yrs required
Practice Area:
Insurance Coverage General Practice - Transactional & Litigation
Job Tags:
brokers commercial property construction equity Insurance Litigation shareholders
Practice Area:
Insurance Coverage General Practice - Transactional & Litigation
Job Tags:
brokers commercial property construction equity Insurance Litigation shareholders

Title: Senior Claim Director, Specialty Complex Claims Job Responsibilities: - Directly handle claims involving complex coverage issues as defined by the Head of North America Claims. This includes the investigation, analysis, and evaluation of coverage liability and damages, ensuring adherence to best...

Posted On Oct 06, 26
Full-time 1 views
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - General
Job Tags:
ADA banking Broker Dealer conflict resolution contracts emerging technologies employment law compliance employment litigation equity Financial Institutions Labor and Employment Litigation Software special projects
Practice Area:
Employment Law - Litigation Employer Defense Employment Law - Management (Compliance & Counseling) Employment Law - General
Job Tags:
ADA banking Broker Dealer conflict resolution contracts emerging technologies employment law compliance employment litigation equity Financial Institutions Labor and Employment Litigation Software special projects

Job Title: Senior Counsel Job Responsibilities: The Senior Counsel... will be part of... and stakeholders. Responsibilities include managing employment litigation matters, overseeing external counsel, managing budgets, and preparing... resolutions, contracts, memoranda to management, and litigation documents. The Senior Counsel will als...

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...

Posted On Oct 09, 26
Full-time Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General
Practice Area:
Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General

Title: Capital Markets Senior Counsel Job Responsibilities: The Capital Markets Senior... Counsel plays a pivotal role... instruments and markets across the United States, the United Kingdom, and Europe. The Senior Counsel collaborates closely with Compliance,... Risk, and Operations teams within the organi...

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