Legal Broker Dealer Jobs Jobs in Reston, VA

Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Jun 07, 26

Full-time 10 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention regulatory compliance Securities Securities Exchange Act of 1934 special projects spouse

Title: Strategic Advisor, Market and Regulatory Services Job Responsibilities: The Strategic Advisor in Market and Regulatory Services (MRS) serves as a senior strategic partner, reporting to the Chief of Staff. The key responsibilities include: - Acting as a strategic thought partner embedded...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Jun 10, 26

Full-time 8 views Experience : Min 10 yrs required

Job Tags:

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

Title: Senior Director, Market Strategy & Research Job Responsibilities: The Senior Director, Market Strategy & Research, plays a pivotal role in leading proactive regulatory risk assessment and developing regulatory strategies. The position is crucial for enabling the Surveillance department to craft regulatory...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Jul 26, 26

Full-time Experience : 3-5 yrs required

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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: - Independently lead investigations related to tokenized securities and other crypto asset activities of organization member firms and associated persons. - Document investigative strategies, findings, and results in a timely manner...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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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. The role...

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Attorney in Tysons Corner, VA

Public Interest • **Members Only** Tysons Corner, VA

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Posted On Aug 12, 26

Full-time 3 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 - Own the P&L and business operations for the organization's OTC Equity products and facilities. - Analyze market and industry trends to propose and prioritize product development strategies, balancing market needs with...

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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 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 Jun 07, 26

Full-time 5 views Experience : Min 10 yrs required

Job Tags:

Affirmative Action child Code of Conduct domestic partner family FINRA Insurance invention regulatory compliance Securities Securities Exchange Act of 1934 special projects spouse

Title: Strategic Advisor, Market and Regulatory Services Job Responsibilities: - Act as a strategic thought partner within an assigned Market and Regulatory Services (MRS) line of business, offering counsel on business initiatives, strategic planning, risk management, policy, and processes to...

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Attorney in Rockville, MD

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

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Posted On Jun 10, 26

Full-time 6 views Experience : Min 10 yrs required

Job Tags:

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

Title: Senior Director, Market Strategy & Research Job Responsibilities: The Senior Director, Market Strategy & Research is tasked with providing critical leadership in assessing regulatory risks and developing regulatory strategies. Key responsibilities include: - Collaborating with the head of Surveillance Operations and senior...

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Attorney in Rockville, MD

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

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Posted On Jun 21, 26

Full-time 9 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: - Lead sophisticated risk assessments of member firms, including those with complex or elevated risks, with minimal supervision. - Drive strategic intelligence by analyzing regulatory developments and market trends, and translating them into actionable recommendations for...

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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 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 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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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 Arlington, VA

In-House • **Members Only** Arlington, VA

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Posted On Sep 08, 26

Full-time Experience : Min 15 yrs required

Job Tags:

artificial intelligence consumer protection Cybersecurity Data Protection emerging technologies health benefits partnerships Privacy privacy laws Registered Investment Advisor regulatory compliance stock options

Title: Senior Vice President, Chief Privacy Officer Job Responsibilities: The Senior Vice President and Chief Privacy Officer (CPO) is a strategic leader responsible for overseeing the enterprise privacy program at the company. This role involves designing and executing privacy frameworks, ensuring compliance...

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Attorney in Arlington, VA

In-House • **Members Only** Arlington, VA

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Posted On Jul 06, 26

Full-time 3 views Experience : Min 12 yrs required

Job Tags:

agreements air brokers distribution agreements drones freight forwarders Government green card international business international trade licensing

Title: Trade Compliance Officer Job Responsibilities: - Responsible for the day-to-day activities required to operate a fully effective export compliance program. - Ensure compliance with US regulatory and internal policy requirements related to export licensing, exemption usage, export training, and recordkeeping. - Prepare, submit,...

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Corporate - Compliance Attorney / Corporate - Contract Law Attorney / Finance - Banking Attorney / Finance - Financial Services Regulation Attorney / Fintech & Blockchain Attorney / Corporate - General Attorney / Finance - General Attorney in Washington,

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

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Posted On Jun 19, 26

Full-time 12 views Experience : Min 7 yrs required

Practice Area:

Corporate - Compliance Corporate - Contract Law Finance - Banking Finance - Financial Services Regulation Fintech & Blockchain Corporate - General Finance - General

Job Tags:

alcohol banking Broker Dealer children Corporation Disability Benefits family health benefits Insurance investment management regulatory compliance Visa

Title: Assistant General Counsel, Executive Director: Wealth Banking, Cash Management & Digital Assets Job Responsibilities: - Lead complex initiatives with broad impact and act as a key participant in large-scale planning. - Handle matters that significantly impact the company's operations, strategies, or profitability. -...

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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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Broker Dealer Jobs in Reston

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