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Finra Jobs in Chester

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United States
Posted On Aug 17, 26
Full-time 9 views Experience : Min 8 yrs required
Practice Area:
Finance - General Finance - Banking
Job Tags:
banking child Commercial Lending corporate governance Corporation criminal Ethics finance Financial Industry Regulatory Authority FINRA Insurance lending licensing pension Privacy regulatory compliance securitization spouse title underwriters
Practice Area:
Finance - General Finance - Banking
Job Tags:
banking child Commercial Lending corporate governance Corporation criminal Ethics finance Financial Industry Regulatory Authority FINRA Insurance lending licensing pension Privacy regulatory compliance securitization spouse title underwriters

Title Senior Counsel--Corporate and Commercial Banking Job Responsibilities The Senior Counsel at the company will be part of the Business & Finance Legal Group (B&F Legal), which consists of approximately 65 attorneys and paralegals within the company's legal department. This...

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Posted On Aug 17, 26
Full-time 8 views Experience : 6-10 yrs required
Practice Area:
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
Practice Area:
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

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

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Posted On Jun 01, 26
Full-time 5 views Experience : Min 6 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - White Collar Crime & Government Investigations - Defense
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - White Collar Crime & Government Investigations - Defense
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse

Title: Counsel, Enforcement Job Responsibilities: - Resolve non-complex enforcement matters through rigorous assessment and effective advocacy. - Execute a risk-based legal strategy, assessing evidence and applying a well-reasoned legal framework. - Recommend fair and effective outcomes and identify potential risks, defenses, individual liability, and...

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Posted On Aug 17, 26
Full-time 7 views Experience : Min 8 yrs required
Practice Area:
Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - General
Job Tags:
advertising agreements asset management child Contract Law Corporation criminal derivatives ERISA plans ETFs Ethics fiduciary Financial Industry Regulatory Authority FINRA hedge funds Insurance investment management licensing Mutual Funds pension Privacy regulatory compliance special projects spouse title
Practice Area:
Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Finance - General
Job Tags:
advertising agreements asset management child Contract Law Corporation criminal derivatives ERISA plans ETFs Ethics fiduciary Financial Industry Regulatory Authority FINRA hedge funds Insurance investment management licensing Mutual Funds pension Privacy regulatory compliance special projects spouse title

Title: Senior Counsel, Asset Management Job Responsibilities: - Engage in substantial contract drafting and negotiation, including agreements with mutual funds, subadvisors, model providers, private funds, and other vendors, as well as customer agreements. - Possess extensive knowledge of investment management functions such as...

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Posted On Aug 26, 26
Full-time 3 views Experience : Min 3 yrs required
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title
Practice Area:
Estate & Tax Planning
Job Tags:
child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title

Title: Wealth Strategist II Job Responsibilities: - Develops, consults on, and implements tax, estate, and financial plans for clients. - Collaborates with more senior planning resources on complex matters and specific subject matters. - Partners in acquiring new clients and works to retain, expand,...

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Attorney in Philadelphia, PA

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

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Posted On Aug 12, 26
Full-time 1 views Experience : 3-5 yrs required
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance FINRA fraud Insurance invention Money Laundering Securities special projects spouse
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 risk monitoring activities for complex and elevated-risk member firms, exercising independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal...

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Attorney in Philadelphia, PA

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

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Posted On Aug 20, 26
Full-time 1 views Experience : 2-10 yrs required
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse
Job Tags:
abuse Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: The Director of the Crypto Fraud & Market Abuse team is responsible for leading a team of investigators focused on the detection, investigation, and mitigation of crypto-related fraud and market abuse...

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Attorney in Philadelphia, PA

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

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Posted On Aug 26, 26
Full-time 1 views Experience : Min 10 yrs required
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
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 Enforcement Director is responsible for managing a team of 5-8 Enforcement attorneys to develop and resolve Enforcement cases from inception to completion. The Director oversees a diverse docket of cases, ensuring outcomes are based on accurate...

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Attorney in Philadelphia, PA

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

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Posted On Sep 01, 26
Full-time
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark
Job Tags:
Affirmative Action child Code of Conduct domestic partner family finance Financial Industry Regulatory Authority FINRA fraud Insurance invention Money Laundering Securities special projects spouse Trademark

ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - This senior-level position involves identifying existing and emerging risks and interacting with internal and external parties. - Perform risk monitoring activities, including those involving complex or elevated risk firms,...

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Posted On Aug 18, 26
Full-time 7 views Experience : 8-8 yrs required
Job Tags:
banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management
Job Tags:
banking Corporation Deferred Compensation fiduciary finance FINRA Insurance licensing marketing pension Securities Software wealth management

Title: Wealth Advisor III Job Responsibilities: - Serve as the primary relationship advisor for high net worth and ultra-high net worth wealth clients, focusing on developing and deepening client relationships through needs-based, high-level client service. - Deliver the full suite of company wealth...

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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
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 26, 26
Full-time 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...

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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
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

Apply
Posted On Jul 26, 26
Full-time
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....

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Attorney in Philadelphia, PA

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

Apply
Posted On Aug 20, 26
Full-time 1 views Experience : 2-10 yrs required
Job Tags:
Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse
Job Tags:
Affirmative Action blockchain child Code of Conduct cryptocurrency domestic partner evidence family finance FINRA fraud Insurance invention Money Laundering Partnership regulatory compliance Securities Securities Exchange Act of 1934 securities laws spouse

Title: Director, Investigations - Crypto Exam and Regulatory Conduct Job Responsibilities: The Director of the Crypto Exam and Regulatory Conduct team is tasked with leading a proficient team of investigators focusing on crypto-related investor protection risks, market conduct rules, and regulatory obligations....

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Attorney in Philadelphia, PA

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

Apply
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...

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Attorney in Philadelphia, PA

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

Apply
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
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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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...

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Posted On Jul 06, 26
Full-time 2 views Experience : 10-10 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements Broker Dealer contracts distribution agreements financial products FINRA Insurance marketing
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
agreements Broker Dealer contracts distribution agreements financial products FINRA Insurance marketing

Title: AVP, Legal, Distribution Counsel Job Responsibilities: - Provide strategic legal counsel, regulatory guidance, and tactical support to the company's wholesale and retail distribution organizations. - Serve as a trusted legal advisor and subject matter resource on regulatory requirements and industry...

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Posted On Sep 09, 26
Full-time 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

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 - Draft and review legal documents related to compli...

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