Senior Broker Dealer Litigation Attorney Jobs in Philadelphia

Securities Senior Associates and Counsel The... candidate must have in-depth 7+ years of experience in the following areas: Public company rules and regulations (Securities Act of 1933, the Securities Exchange Act of 1934); Registration and listing of securities, debt obligations, and knowledge of NASDAQ and NYSE Rules; Reporting on Forms 10-K, 10-Q and 8-K; Proxy statements for annual and special shareholder meetings; Section 16 Reporting (Forms 3, 4, and 5); Compliance with R... 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Note: This job is no longer active.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 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Note: This job is no longer active.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

Senior Counsel - Enterprise Litigation... The candidate protects and advances company's interests in all litigation, other than employment and... Group Protection matters, filed by or against the company. Will mainly support the retail distribution businesses, which include insurance agencies, broker/dealers, and registered investment advisors.... Develop and implement strategic prosecution and defense of lawsuits/arbitration matters filed by and against clients. Advise clients on re... 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

AVP Claim Technical Officer - Professional Lines First Party and Dedicated Professional Liability Claims The candidate will be the technical leader and subject matter expert responsible for driving all aspects of claims technical excellence for the following product lines: first-party Cyber and Fidelity coverages and professional liability coverages encompassing cyber and technology, media professional liability, life agent and broker-dealer professional liability and our... mi... 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

Vice President, Deputy General Counsel The candidate work includes: managing and leading a team of legal professionals; providing advice and counsel to senior management; acting as subject... matter expert in relevant areas of law; contract negotiation and drafting; and other day-to-day legal matters. Responsibilities: Manage and lead a team of attorneys and paralegals. Provide advice and counsel to senior management and other business... leaders on legal, regulatory, legislative,... 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 Litigation Counsel (Disciplinary), Enforcement... - Any FINRA Location FINRA is seeking a highly experienced Senior Litigation Counsel to provide... legal representation in complex disciplinary proceedings and non-disciplinary hearings. This position will be responsible for representing FINRA in a first or second chair capacity in complex disciplinary proceedings and in a first chair capacity in non-disciplinary hearings and litigation. The Senior Litigation Counsel wi... 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

#LI-Hybrid ## Senior Litigation Counsel, Enforcement -... Any FINRA Location FINRA is seeking a Senior Litigation Counsel to work... under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). The Senior Litigation Counsel will be... responsible for representing FINRA in a first or second chair capacity in complex disci... 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

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