Legal Broker Dealer Jobs Jobs in Pennsauken, NJ

Corporate - Asset/Investment Management Attorney / Corporate - Compliance Attorney / Corporate - General Attorney in Philadelphia, PA

In-House • **Members Only** Philadelphia, PA

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Posted On Sep 17, 26

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

Practice Area:

Corporate - Asset/Investment Management Corporate - Compliance Corporate - General

Job Tags:

advertising agreements Broker Dealer contracts Corporation distribution agreements employee benefits financial products FINRA fraud Genetics Insurance licensing marketing NYSE Partnership Privacy Scams social security

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

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Finance - Financial Services Regulation Attorney / Finance - General Attorney in Philadelphia, PA

Law Firm • **Members Only** Philadelphia, PA

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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

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...

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Attorney in Philadelphia, PA

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

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Posted On Jun 21, 26

Full-time 8 views

Job Tags:

Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse

Title: Principal Analyst, Risk Monitoring Job Responsibilities: As a Principal Risk Monitoring Analyst, you will play a critical role in maintaining the integrity of . securities markets by identifying emerging risks and assessing complex member firms. Your responsibilities include: - Leading sophisticated risk...

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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

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...

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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

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...

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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

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...

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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

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....

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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

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...

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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

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....

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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

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...

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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

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...

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Attorney in Philadelphia, PA

In-House • **Members Only** Philadelphia, PA

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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

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...

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Attorney in Philadelphia, PA

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

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

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Attorney in Philadelphia, PA

In-House • **Members Only** Philadelphia, PA

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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

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...

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Attorney in Philadelphia, PA

In-House • **Members Only** Philadelphia, PA

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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

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...

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Insurance Defense - General Attorney in Red Bank, NJ

In-House • **Members Only** Red Bank, NJ

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Posted On Jul 15, 26

Full-time 3 views

Practice Area:

Insurance Defense - General

Job Tags:

brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters

Title: Senior Claims Specialist Job Responsibilities: - Handling and managing complex Employment Practices Liability Claims to determine appropriate valuation, settlement strategies, and ensure adherence to company policies. - Investigating, analyzing, and evaluating coverage for Employment Practices and Third Party Liability claims. - Attending mediations...

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Insurance Defense - General Attorney in Red Bank, NJ

In-House • **Members Only** Red Bank, NJ

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Posted On Jul 28, 26

Full-time 3 views Experience : 5-10 yrs required

Practice Area:

Insurance Defense - General

Job Tags:

brokers company policies family fiduciary FLSA Insurance Litigation shareholders trials underwriters

Title: Senior Claims Specialist - EPL/Fiduciary Job Responsibilities: - Handling and managing complex Employment Practices Liability Claims to determine appropriate valuation, settlement strategies, and ensure adherence to company policies. - Investigating, analyzing, and evaluating coverage for Employment Practices and Third Party Liability claims. -...

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Insurance Defense - General Attorney in Red Bank, NJ

In-House • **Members Only** Red Bank, NJ

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Posted On Sep 08, 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

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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Corporate - Asset/Investment Management Attorney / Corporate - General Attorney in Radnor, PA

In-House • **Members Only** Radnor, PA

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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

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...

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Financial Services Associate

Recruiter • **Members Only** Philadelphia, PA

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Posted On Jul 14, 26

Full-time 5 views Experience : 2-13 yrs required

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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Broker Dealer Jobs in Pennsauken

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