Legal Broker Dealer Jobs Jobs in Burtonsville, MD

Administrative Law Attorney / Government - General Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 25, 26

Full-time 1 views Experience : Min 10 yrs required

Practice Area:

Administrative Law Government - General

Job Tags:

Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials

Title: Director, Enforcement Job Responsibilities: The Director of Enforcement is responsible for managing a team of 5-8 Enforcement attorneys. This role involves overseeing the development and resolution of Enforcement cases through all stages, from inception to completion. The Director is tasked with...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Jul 26, 26

Full-time 1 views

Job Tags:

Affirmative Action blockchain child Code of Conduct Cybersecurity domestic partner family FINRA fraud Insurance invention Money Laundering Securities spouse

Title: Senior Principal Investigator, Crypto Asset Investigations - Blockchain Technology Job Responsibilities: - Serve as an expert in crypto assets, blockchains, smart contracts, and other onchain technologies, addressing complex regulatory challenges. - Conduct investigations into money laundering, onchain vulnerabilities, cybersecurity incidents, fraud, and...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Jul 26, 26

Full-time 1 views Experience : 5-10 yrs required

Job Tags:

Affirmative Action blockchain child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Senior Principal Investigator, Crypto Asset Investigations - Tokenized Securities Markets Job Responsibilities: The Senior Principal Investigator in Crypto Asset Investigations (CAI) is responsible for conducting high-complexity investigations into crypto asset activities of organization member firms and their associated persons. This role...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 19, 26

Full-time 1 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct cryptocurrency domestic partner equity family finance FINRA fraud Insurance invention Securities spouse

Title: Director, Transparency Services Equities Job Responsibilities: Market Strategy & Product Leadership: - Owns the P&L and business operations for the organization's OTC Equity products and facilities. - Analyzes market and industry trends to propose and prioritize product development strategies, balancing market needs with...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Aug 31, 26

Full-time 1 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse

Title: Director, Emerging Technology Intelligence Job Responsibilities: - Serve as a senior partner to internal and external stakeholders, leading cross-departmental efforts to identify emerging threats and drive intelligence-driven initiatives with measurable impact on Strategic Intelligence results. - Lead a team of intelligence analysts...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Sep 08, 26

Full-time 1 views Experience : Min 12 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Government Insurance invention partnerships Securities securities laws Software spouse

Title: Senior Director, Trading and Product Risk Intelligence Job Responsibilities: The Senior Director, Trading and Product Risk Intelligence, plays a pivotal role in overseeing and guiding strategic and tactical intelligence efforts within the organization's Risk & Intelligence department. The role involves...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Sep 15, 26

Full-time 1 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Title: Vice President, Strategic and Threat Intelligence Job Responsibilities: - Serve as a key member of senior management, providing strategic direction on regulatory oversight, emerging risks, and intelligence-driven initiatives. - Lead intelligence operations to identify, analyze, and predict emerging risks, threats, regulatory trends,...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Sep 15, 26

Full-time 1 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family financial products FINRA Insurance invention Securities Software spouse

Title: Vice President, Trading and Product Risk Intelligence Job Responsibilities: - Serve as a key member of senior management and strategic advisor to business stakeholders, providing leadership and strategic direction on regulatory oversight, emerging risks, and intelligence-driven initiatives. - Drive strategic discussions and...

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Attorney in Rockville, MD

Public Interest • **Members Only** Rockville, MD

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Posted On Sep 22, 26

Full-time Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse

Title: Director, Market Strategy & Research Job Responsibilities: The Director, Market Strategy & Research is responsible for providing leadership in proactive regulatory risk assessment and the development of regulatory strategy. This role is crucial for enabling the Surveillance department to effectively develop...

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Corporate - Securities and Capital Markets Attorney / Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Bethesda, MD

In-House • **Members Only** Bethesda, MD

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Posted On Aug 12, 26

Full-time 2 views Experience : Min 12 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - Asset/Investment Management Corporate - General

Job Tags:

1940 Act acquisitions agreements asset management corporate transactions derivatives ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC mergers Mutual Funds Privacy Securities Securities Act of 1933 Securities Exchange Act of 1934 Transportation underwriters

Title: Senior Regulatory Counsel (Securities) Job Responsibilities: - Deliver timely, pragmatic, and business-oriented legal counsel to senior management and across all levels of the organization. - Identify and evaluate legal and business risks to support strategic decision-making. - Work closely with internal business teams...

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Attorney in Bethesda, MD

In-House • **Members Only** Bethesda, MD

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Posted On Sep 24, 26

Full-time 1 views Experience : Min 5 yrs required

Job Tags:

advertising ETFs family FINRA Insurance Investment Advisers Act of 1940 LLC marketing Mutual Funds Privacy Securities Transportation

Us: Company offers one of the largest lineups of ETFs, with over $100 billion in assets. The company is a leader in strategies such as crypto, dividend growth, interest rate hedged bond, and geared (leveraged and inverse) ETF investing. Company continues...

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Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney / Finance - General Attorney / Finance - Banking Attorney / Finance - Financial Services Regulation Attorney in Washington, DC

In-House • **Members Only** Washington, DC

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Posted On Sep 21, 26

Full-time 1 views Experience : Min 10 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - General Finance - General Finance - Banking Finance - Financial Services Regulation

Job Tags:

agreements banking Broker Dealer credit agreements derivatives family finance Insurance ISDA lending Securities

Title: Director Legal Counsel, Corporate Treasury Job Responsibilities: - Provide strategic legal guidance to support the company's treasury activities, focusing on liquidity, funding, capital, and risk management. - Collaborate with Corporate Treasury leaders and cross-functional stakeholders to address complex legal, regulatory, and business...

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Corporate - Securities and Capital Markets Attorney / Corporate - Compliance Attorney / Corporate - General Attorney in Washington, DC

Public Interest • **Members Only** Washington, DC

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Posted On Jul 10, 26

Full-time 3 views Experience : Min 6 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General

Job Tags:

Affirmative Action child Code of Conduct domestic partner family Financial Industry Regulatory Authority FINRA Insurance invention Securities spouse Trademark

Title: Principal Counsel in Office of General Counsel (OGC), Regulatory Policy Job Responsibilities: The Principal Counsel in the Office of General Counsel (OGC), Regulatory Policy at the organization is tasked with providing legal advice and support throughout the life cycle of new...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Washington, DC

In-House • **Members Only** Washington, DC

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Posted On Aug 03, 26

Full-time 1 views Experience : 5-10 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

agreements asset management Corporation derivatives ETFs family finance Insurance investment management marketing partnerships regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934

Title: Director Legal Counsel - Exchange Traded Products and Derivatives Job Responsibilities: - Provide legal support for exchange traded products (ETPs) managed or sponsored by the company. - Involvement in strategy, development, drafting of offering documents, initial offering, and ongoing...

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Corporate - Asset/Investment Management Attorney / Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Washington, DC

In-House • **Members Only** Washington, DC

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Posted On Aug 03, 26

Full-time 2 views Experience : 4-7 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General

Job Tags:

agreements banking Banking Law banking laws blockchain family finance Insurance marketing partnerships regulatory compliance securities laws

Title: Director Legal Counsel - Digital Assets Job Responsibilities: - Provide legal support for the digital assets platforms available to customers of the company and its affiliates. - Engage in strategic initiatives and ensure regulatory compliance. - Negotiate agreements with product issuers or advisers. -...

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Corporate - Securities and Capital Markets Attorney / Corporate - General Attorney in Washington, DC

Law Firm • **Members Only** Washington, DC

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Posted On Sep 20, 26

Full-time 2 views Experience : Min 5 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - General

Job Tags:

corporate governance equity FINRA fund formation Securities Securities Act of 1933 Securities Exchange Act of 1934

Title: Senior Associate, Counsel, or Junior Partner (Corporate Securities – .) Job Responsibilities: The position involves joining a sophisticated and entrepreneurial securities group within the law firm. The responsibilities include: - Understanding and applying public company disclosure rules and regulations, specifically...

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Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Attorney / Litigation - Anti-corruption and the Foreign Corrupt Practices Act - Defense Attorney in Washington, DC

Law Firm • **Members Only** Washington, DC

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Posted On Sep 21, 26

Full-time 55 views

Practice Area:

Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Anti-corruption and the Foreign Corrupt Practices Act - Defense

Job Tags:

PCAOB Securities spectrum

practice represents a diverse range of entities and individuals in matters related to securities market participants, including broker-dealers and registered investment advisers... - The group is involved in enforcement matters before the SEC, DOJ, PCAOB, and other regulators -...

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Finance - Financial Services Regulation Attorney in Washington, DC

Law Firm • **Members Only** Washington, DC

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Posted On Aug 27, 26

Full-time 11 views

Practice Area:

Finance - Financial Services Regulation

Job Tags:

asset management Paternity securities laws

Title: Asset Management Associate (Regulatory & Enforcement) Job Responsibilities: The Asset Management Associate will be part of the Regulatory & Enforcement practice within the Asset Management Department at the law firm. The primary responsibilities include advising investment advisers, particularly private fund advisers,...

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Senior Associate, Counsel, or Junior Partner (Corporate Securities)

Recruiter • **Members Only** Washington, DC

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Posted On Sep 14, 26

Full-time 2 views Experience : 3-20 yrs required

Practice Area:

Corporate - General Corporate - Securities and Capital Markets

OverviewA law firm seeks an experienced attorney to join its expanding securities group in Washington, . This role offers the opportunity to engage in a sophisticated and entrepreneurial practice within a collegial and supportive environment. Candidates should possess at least...

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