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Broker Dealer Jobs in Camden

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United States
Posted On Sep 14, 26
Full-time 4 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 Sep 28, 26
Full-time 4 views Experience : 3-8 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements asset management banking Capital Markets child corporate governance Corporation criminal Ethics fiduciary Financial Industry Regulatory Authority Financial Institutions FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy regulatory compliance spouse title

Title: Senior Counsel--Investment Advisor Job Responsibilities: - Serve as a legal advisor to one or more registered investment advisers that manage private credit funds and other investment vehicles, including funds registered under the Investment Company Act of 1940. - Provide legal support on...

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

aimed at protecting investors, ensuring market integrity, and supporting responsible capital formation. 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...

Attorney in Philadelphia, PA

Public Interest • **Members Only** Philadelphia, PA

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Posted On Jul 05, 26
Full-time 3 views Experience : Min 12 yrs required
Job Tags:
Affirmative Action child Code of Conduct corporate compliance domestic partner family finance financial services regulation FINRA Government Insurance invention Litigation Media Securities special projects spouse
Job Tags:
Affirmative Action child Code of Conduct corporate compliance domestic partner family finance financial services regulation FINRA Government Insurance invention Litigation Media Securities special projects spouse

Title: Vice President, Enforcement Senior Advisor & Operations Job Responsibilities: - Serve as a strategic partner and thought leader to the EVP of Enforcement, offering expert advice on operational, policy, and regulatory matters. - Exercise sound judgment and independent decision-making authority on matters...

Attorney in Philadelphia, PA

Public Interest • **Members Only** Philadelphia, PA

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Posted On Jul 26, 26
Full-time 2 views Experience : Min 12 yrs required
Job Tags:
Affirmative Action agreements child Code of Conduct domestic partner family FINRA Insurance invention Securities securities laws spouse
Job Tags:
Affirmative Action agreements child Code of Conduct domestic partner family FINRA Insurance invention Securities securities laws spouse

Title: Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job Responsibilities: 1. Regulatory Intelligence & Strategic Advisory: - Monitor, analyze, and interpret complex regulatory developments related to market structure and market regulation from exchanges, the organization, the SEC, and other regulatory...

Attorney in Philadelphia, PA

Public Interest • **Members Only** Philadelphia, PA

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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
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 to address complex regulatory challenges. - Conduct investigations into potential issues such as money laundering, onchain...

Attorney in Philadelphia, PA

Public Interest • **Members Only** Philadelphia, PA

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Posted On Jul 26, 26
Full-time 1 views
Job Tags:
Affirmative Action blockchain child Code of Conduct domestic partner family FINRA Insurance invention Securities spouse
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 plays a crucial role in managing high-complexity investigations related to crypto asset activities of organization member firms and their associated persons....

Attorney in Philadelphia, PA

Public Interest • **Members Only** Philadelphia, PA

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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
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: The Director, Strategic Intelligence is responsible for leading a team of intelligence analysts within the Strategic Intelligence department. The role involves: - Serving as a senior partner to internal and external stakeholders, leading cross-departmental efforts to...

Attorney in Philadelphia, PA

Public Interest • **Members Only** Philadelphia, PA

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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
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: - Serve as a senior strategic partner to internal and external stakeholders, providing guidance on cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the organization....

Attorney in Philadelphia, PA

Public Interest • **Members Only** Philadelphia, PA

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Posted On Sep 15, 26
Full-time 2 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
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: 1. Strategic Planning, Leadership, and Stakeholder Engagement: - Serve as a key member of senior management and strategic advisor to business stakeholders. - Partner across departments to provide critical leadership and strategic direction...

Attorney in Philadelphia, PA

Public Interest • **Members Only** Philadelphia, PA

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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
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: The Vice President, Trading and Product Risk Intelligence, is a vital role within the Intelligence leadership team, reporting directly to the Senior Vice President of Strategic Intelligence. The responsibilities include: - Leading a...

Posted On Sep 24, 26
Full-time 2 views Experience : Min 6 yrs required
Job Tags:
AML crime criminal emerging technologies finance Financial Institutions fraud Government Immigration Insurance Money Laundering Mutual Funds OFAC public sector Software terrorist financing
Job Tags:
AML crime criminal emerging technologies finance Financial Institutions fraud Government Immigration Insurance Money Laundering Mutual Funds OFAC public sector Software terrorist financing

Title: Manager - Anti-Money Laundering - Financial Crime and Fraud Job Responsibilities: As an Anti-Money Laundering (AML) Manager, the candidate will be responsible for assisting clients in mitigating risks associated with money laundering, terrorist financing, and sanctions violations. The role involves...

Attorney in Philadelphia, PA

Public Interest • **Members Only** Philadelphia, PA

Apply
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
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 regulatory risk assessment and the development of regulatory strategy. Key responsibilities include: - Conducting continuous qualitative research into market conditions and developments in...

Posted On Jul 26, 26
Full-time Experience : Min 7 yrs required
Job Tags:
construction general liability Harassment health insurance Insurance Personal Property Pollution trials
Job Tags:
construction general liability Harassment health insurance Insurance Personal Property Pollution trials

Title: Senior Claim Director - Westchester Casualty Job Responsibilities: The Senior Claim Director, Westchester Casualty, holds a critical role in managing high exposure and high-risk claims, ensuring both customer satisfaction and claim file quality. This professional is integral to the...

Posted On Sep 18, 26
Full-time 1 views Experience : Min 8 yrs required
Job Tags:
brokers Domestic Violence family Harassment Insurance Mergers and Acquisitions Partnership partnerships spectrum Visa
Job Tags:
brokers Domestic Violence family Harassment Insurance Mergers and Acquisitions Partnership partnerships spectrum Visa

Title: Tax Senior Manager - Financial Services - Insurance Job Responsibilities: As a Tax Senior Manager within the Financial Services Insurance team at the company, the individual will be responsible for a variety of duties centered around technical and quality...

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...

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

Title: Attorney - Regulatory Counsel Team Job Responsibilities: - Provide legal and regulatory guidance to support the company's compliance program. - Interface directly with trading, technology, operations, and legal teams, as well as external regulators and market participants. - Advise company personnel about regulatory...

Posted On Aug 26, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership

Title: AVP, Sr. Counsel, Broker-Dealer and Investment Advisor Job Responsibilities: -... Provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. - Partner with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations, and...

Posted On Sep 09, 26
Full-time 2 views Experience : 10-5 yrs required
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
distribution agreements FINRA Insurance regulatory compliance
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
distribution agreements FINRA Insurance regulatory compliance

Responsibilities: - Advise on broker-dealer and investment advisor regulatory... financial services, insurance, and broker-dealer laws - Stay updated... on regulations from FINRA, SEC, DOL, and state insurance authorities - Collaborate with internal teams to ensure legal compliance in business operations...

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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