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Mid Level Broker Dealer Litigation Attorney Jobs in Philadelphia

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Mid Level Broker Dealer Litigation Attorney Jobs in Philadelphia - Related Job Titles

Administrative LitigationLitigation Civil Rights Attorney
United States
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...

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Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.

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Regional Counsel, Enforcement The candidate will plan and conduct intermediate-in-scope sales practice investigations of broker-dealers and associated persons, including... conducting on-the-record interviews. Will prepare detailed memoranda summarizing investigative findings and applicable case law. Draft complaints, decisions and memoranda of law. Participate in the litigation of disciplinary actions. Counsel... district examinations staff on investigations and legal issues. Rev... 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Note: This job is no longer active.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

Regional Counsel, Enforcement The candidate will perform a variety of specific duties including initiating and bringing to resolution disciplinary actions and provide legal assistance to the examination program. Will plan and conduct intermediate-in-scope sales practice investigations of broker-dealers and associated persons, including... conducting on-the-record interviews. Prepare detailed memoranda summarizing investigative findings and applicable case law. Draft complaints,... 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

VP Brokerage Operations The candidate will grow and maintain broker network/sales channel of distribution... of Lawyers Professional Liability (LPL) Program business. In this role will build and maintain a broker network while setting expectations... for the quality of submissions and plans for growth that will drive revenue in servicing the Legal community. In this role identify appropriate LPL brokers; coordinate and negotiate broker agreements to ensure best... terms for submissio... 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 Legal Counsel Duties: Will join a team focused on assuring regulatory compliance regarding the trading of securities, commodities, fixed income, energy, and FX; and addressing associated litigation matters. Responsibilities will include... updating the firm on regulatory requirements, developing policies and procedures, responding to regulatory requests, advising traders and business staff, facilitating the firm’s e-mail program and Anti-Money Laundering program, 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

Regulatory Legal Counsel The candidate will join a team focused on assuring regulatory compliance regarding the trading of securities, commodities, fixed income, energy, and FX; and addressing associated litigation matters. Responsibilities will include... updating the firm on regulatory requirements, developing policies and procedures, responding to regulatory requests, advising traders and business staff, facilitating the firm’s e-mail program and Anti-Money Laundering prog... 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 Attorney, Statutory Disqualification, Member Supervision... The candidate responsibilities will include: Applying analytical skills, reviews applications and related documentation underlying decision whether to permit an ineligible entity or person to remain in or re-enter the securities industry. Partnering with senior level counsel, prepares the recommendation... and decision on behalf of firm based on sound legal analysis and factual development. Works collaboratively an... 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, Enforcement at FINRA FINRA is looking for a qualified individual to fill the role of Counsel, Enforcement. The successful candidate will be responsible for executing an effective risk-based legal strategy to assess the record fairly, collaborating with investigative staff to plan investigations, recommending fair and effective outcomes, advancing settlement discussions, conducting litigation preparation, drafting settlement documents,... and more. ## Qualificati... 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

Securities Enforcement Associate The candidate will join a securities enforcement team in representing investment management, broker-dealer, public company and individual... clients in SEC, SRO and state enforcement proceedings and litigation. Will also assist with... conducting internal investigations and counseling. Must have 2-4 years of litigation experience. SEC or big-firm... enforcement experience is a plus.... 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 Compliance Associate The candidate will assist the Chief Compliance Officer in the development, maintenance, and management of compliance programs pursuant to the Investment Advisers Act of 1940. Will assist the Chief Compliance Officer in administering all aspects of compliance programs for registered broker dealer and registered investment... advisors. Additionally, responsibilities include conducting registered office inspections; administering Code of Ethics reportin... 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 Litigation Associate with 3-5 years... of broker-dealer regulatory experience. Experience with... examinations, inquiries, investigations, and enforcement actions by the SEC, FINRA, the various stock, option and commodity exchanges and state securities agencies is preferred. Service in a regulatory (., the SEC, CFTC, FINRA) enforcement organization would be helpful. Experience with hedge funds, investment funds and investment advisers a plus. Connecticut Bar membership... 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

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