Legal Finra Jobs Jobs in Colmar, PA

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

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

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Posted On Jul 06, 26

Full-time 3 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

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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Administrative Law Attorney / Government / Public Law Attorney / Government - General Attorney in Radnor, PA

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

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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

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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Administrative Law Attorney / Government - General Attorney in Bala Cynwyd, PA

In-House • **Members Only** Bala Cynwyd, PA

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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

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...

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Corporate - Securities and Capital Markets Attorney / Corporate - Compliance Attorney / Corporate - General Attorney in Malvern, PA

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

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Posted On Jul 08, 26

Full-time 2 views Experience : 7-10 yrs required

Practice Area:

Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General

Job Tags:

FINRA Securities securities laws

brokerage and wealth platform. - Advise on the design, distribution, and oversight of brokerage capabilities and investment products. - Provide legal guidance on regulatory requirements under the Securities Exchange Act, FINRA rules, and other applicable... laws. - Manage complex legal projects and initiativ...

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

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

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Posted On Aug 11, 26

Full-time 1 views Experience : Min 10 yrs required

Practice Area:

Corporate - Asset/Investment Management Corporate - General

Job Tags:

ETFs Financial Services Law FINRA investment management Mutual Funds Partnership private equity title

Assistant General Counsel, Retail Brokerage Platform Job Responsibilities: The Assistant General Counsel for the Retail Brokerage Platform at the company plays a crucial role in supporting the Personal Wealth business, specifically focusing on the retail brokerage and wealth platform that serves over...

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

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

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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

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...

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Estate & Tax Planning Attorney in Philadelphia, PA

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

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Posted On Sep 21, 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

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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Estate & Tax Planning Attorney in Philadelphia, PA

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

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Posted On Sep 21, 26

Full-time 3 views Experience : Min 5 yrs required

Practice Area:

Estate & Tax Planning

Job Tags:

child criminal Financial Industry Regulatory Authority FINRA Insurance Investment Banking licensing pension spouse title

Title: Wealth Strategist III Job Responsibilities: - Develop, consult on, and implement tax, estate, and financial plans for clients, including complex cases. - Collaborate with other planning resources on complex subjects and partner in acquiring new clients. - Retain, expand, and deepen existing client...

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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 3 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

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

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

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 1 views

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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Attorney in Philadelphia, PA

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

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Posted On Sep 29, 26

Full-time

Job Tags:

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

Title: Director, Risk Monitoring Job Responsibilities: - Ensure implementation and completion of the Risk Monitoring Program for a specific Organizational Business Model or Business Segment. - Supervise Risk Monitoring Analysts, ensuring timeliness, precision, and quality of risk assessments and related reports. - Oversee development...

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Attorney in Philadelphia, PA

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

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Posted On Sep 21, 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

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 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 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

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

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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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Finra Jobs in Colmar

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