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Junior Broker Dealer Attorney Jobs in Pennsylvania

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Junior Broker Dealer Attorney Jobs in Pennsylvania - Related Job Titles

Isda Attorney
United States
Posted On Oct 08, 26
Full-time
Practice Area:
Litigation - Securities Litigation - Plaintiffs
Job Tags:
abuse contracts criminal depositions Ethics evidence federal government Litigation pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title
Practice Area:
Litigation - Securities Litigation - Plaintiffs
Job Tags:
abuse contracts criminal depositions Ethics evidence federal government Litigation pleadings Privacy public sector RICO Rule of Law Securities securities laws social security title

Title: Market Abuse Unit Attorney Job Responsibilities: As a Market Abuse... Unit Attorney, the primary responsibilities include: -... insider trading, front-running, cherry picking, hack-to-trade schemes, and violations by market-related entities such as broker-dealers, exchanges, and alternative trading... systems. - Managing multiple complex investigations...

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

to the company's subsidiary broker-dealers. - Research and provide legal... advice regarding broker-dealer and mutual fund distribution,... including regulatory and compliance issues. - Communicate and interact with clients, outside counsel, service providers, and others regarding contract terms and conditions. - Keep abreast of...

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. -... 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 regarding contract terms...

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

Job Title: Junior Attorney - EXAMS Job Responsibilities: The... Junior Attorney - EXAMS position... 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 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

the Personal Wealth business, specifically focusing on the retail brokerage and wealth platform that serves over nine million clients. The position requires the attorney to function as a... strategic legal partner, sitting at the intersection of trading, investment product innovation,...

Posted On Jul 14, 26
Full-time 5 views Experience : 2-13 yrs required
Practice Area:
Fintech & Blockchain Finance - Financial Services Regulation Finance - General
Practice Area:
Fintech & Blockchain Finance - Financial Services Regulation Finance - General

OverviewA law firm seeks a Financial Services Associate with 3 to 7 years of experience to join their team in Philadelphia, PA. The ideal candidate will possess a strong understanding of federal securities laws and will work with a diverse...

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