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Finra Jobs in Souderton

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  3. Pennsylvania
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  5. Finra

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United States
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...

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
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...

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
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...

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
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...

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
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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