Legal Broker Dealer Jobs Jobs in Silver Spring, MD

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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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 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 1 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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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 Jun 16, 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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Corporate - Asset/Investment Management Attorney / Finance - Financial Services Regulation Attorney in Washington, DC

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

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Posted On Aug 17, 26

Full-time 19 views Experience : 6-10 yrs required

Practice Area:

Corporate - Asset/Investment Management Finance - Financial Services Regulation

Job Tags:

40 Act agreements Capital Markets child corporate governance Corporation criminal Ethics Financial Industry Regulatory Authority FINRA Government Insurance Investment Advisers Act of 1940 Investment Company Act investment management licensing pension Privacy private equity registered investment companies regulatory compliance spouse title

Title Senior Counsel Job Responsibilities - Serve as a senior legal advisor to a registered investment adviser that sub-advises private credit funds, including funds registered under the Investment Company Act of 1940. - Provide primary legal support on matters arising...

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Finance - Financial Services Regulation Attorney / Fintech & Blockchain Attorney / Finance - General Attorney in Washington, DC

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

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Posted On Jul 09, 26

Full-time 4 views Experience : 3-7 yrs required

Practice Area:

Finance - Financial Services Regulation Fintech & Blockchain 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 join the Financial Services group at the law firm. The role involves advising financial services firms, asset managers, and investment funds. The clientele ranges from small start-up and boutique operations to...

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Finance - Financial Services Regulation Attorney / Finance - General Attorney in Washington, DC

Government • **Members Only** Washington, DC

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Posted On Jul 01, 26

Full-time 7 views Experience : 5-10 yrs required

Practice Area:

Finance - Financial Services Regulation Finance - General

entities under the regulatory authority of the Commission. - Oversee the examination of broker-dealers to ensure compliance with... relevant regulations. - Provide guidance and support to the examination team, ensuring that all examinations are conducted efficiently and effectively. - Develop and implement...

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Administrative Law Attorney / Government / Public Law Attorney / Government - General Attorney in Washington, DC

Government • **Members Only** Washington, DC

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Posted On Jul 17, 26

Full-time 1 views Experience : Min 3 yrs required

Practice Area:

Administrative Law Government / Public Law Government - General

Job Tags:

banking contracts Financial Institutions Litigation Money Laundering pleadings public sector RICO Securities Securities Exchange Act of 1934 securities laws

Title: Attorney - Adviser (Attorney - Enforcement Liaison) Job Responsibilities: - Analyze questions related to Enforcement matters involving various statutory provisions and rules administered by the Division of Trading and Markets (TM). This may include issues across different business models and activities,...

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Corporate - Asset/Investment Management Attorney / Corporate - Private Equity Attorney / Corporate - M&A Attorney / Corporate - General Attorney in Washington, DC

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

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Posted On Jul 23, 26

Full-time 1 views Experience : 4-10 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - Private Equity Corporate - M&A Corporate - General

Job Tags:

asset management corporate transactions criminal directors equity family federal government Financial Institutions Insurance M&A private equity spectrum tender offers

wide array of corporate transactions involving asset managers, investment funds, broker-dealers, financial advisors, and other... ancillary financial services businesses. The responsibilities include acting as counsel for a diverse array of clients, including asset managers, private equity firms, GP staking fi...

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Employment Law - Management (Compliance & Counseling) Attorney / Employment Law - Wage and Hour - Defense Attorney / Employment Law - Wage and Hour - General Attorney / Employment Law - General Attorney in Washington, DC

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

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Posted On Aug 27, 26

Full-time Experience : Min 15 yrs required

Practice Area:

Employment Law - Management (Compliance & Counseling) Employment Law - Wage and Hour - Defense Employment Law - Wage and Hour - General Employment Law - General

Job Tags:

corporate governance Employment Law Government Litigation regulatory compliance shareholders wage and hour

Title: HR Attorney Job Responsibilities: The HR Attorney is responsible for leading a team of employment lawyers and paralegals, providing legal counsel on matters related to corporate functions such as Corporate Secretary, Employment and Human Resources, Operations, Technology, Procurement, or...

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Legal Staff Paralegal in Washington, DC

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

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Posted On Jun 09, 26

Full-time 9 views Experience : Min 3 yrs required

Practice Area:

Corporate - Compliance Corporate - General

Job Tags:

Affirmative Action child Code of Conduct corporate governance domestic partner family FINRA Insurance invention Partnership Securities securities laws spouse

Title: Specialist, Corporate Governance Job Responsibilities: - Conduct comprehensive legal and regulatory research on corporate governance practices and procedures. - Synthesize complex findings into authoritative research summaries and policy recommendations for internal and external requests. - Draft and proofread all deliverables to ensure documentation...

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Attorney in Washington, DC

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

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Posted On Jun 10, 26

Full-time 12 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 proactive regulatory risk assessment and the development of regulatory strategy. This role is crucial for the Surveillance department to...

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Attorney in Washington, DC (Remote)

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

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Posted On Sep 08, 26

Full-time 9 views Experience : 5-10 yrs required

Job Tags:

Bribery Broker Dealer Code of Conduct conflict resolution Ethics evidence HIPAA Money Laundering Privacy private equity regulatory compliance Visa Whistleblower

Title: Director, Risk, Compliance and Ethics Job Responsibilities: The Director of Compliance -- Americas will report to the Global Chief Risk & Compliance Officer (CRCO) and is responsible for overseeing the risk, compliance, and ethics programs in the Company's North American...

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Attorney in Washington, DC

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

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Posted On Jun 21, 26

Full-time 6 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 at the organization, you will play a crucial role in safeguarding the integrity of . securities markets. Your responsibilities include: - Leading sophisticated risk assessments of member firms, focusing on...

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Securities Enforcement Counsel

Recruiter • **Members Only** Washington, DC

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Posted On Jul 27, 26

Full-time 50 views Experience : 2-12 yrs required

Practice Area:

Government - General Administrative Law

law firm seeks a Counsel-level attorney to join its esteemed and expanding Securities Enforcement practice group. This role involves representing a diverse range of clients, including corporations, financial market participants, and individuals, in regulatory enforcement matters and high-stakes investigations. The...

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Broker Dealer Jobs in Silver Spring

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