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Mid Level Regulatory Broker Dealer Securities Attorney Jobs in Pennsylvania

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Mid Level Regulatory Broker Dealer Securities Attorney Jobs in Pennsylvania - Related Job Titles

Closing AttorneyRegulatory Litigation AttorneyTemporary Regulatory Paralegal Temporary Securities Paralegal
United States
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... Attorney 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 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

Job Title: Attorney - Regulatory Counsel Team Job Responsibilities: - Provide... legal and regulatory guidance to support the... Advise company personnel about regulatory requirements concerning securities, commodities,... and swaps, with a focus on trading and market-related matters. - Assess new regulations, determine th...

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

Title Assistant General Counsel Job Responsibilities Litigation, Arbitration & Dispute Resolution - Manage the company's caseload of litigation, arbitrations, and mediations from intake through resolution. This includes case strategy, budgeting, and coordination with outside counsel, insurance brokers, and carriers. - Handle...

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 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

candidate will possess a strong understanding of federal securities laws and will work... with a diverse range of clients, from small start-ups to large financial institutions, advising on fund structures and regulatory clients on cross-border... registration and regulatory examinations....

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