Broker Dealer Attorney Jobs in Philadelphia
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Professional Liability Defense Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Nov 20, 2024
SUMMARY: jobs #attorneyjobs Law Firm Seeking Associate Attorney with 1-5 years of Professional Liability experience in Philadelphia, PA. This position offers the opportunity to work with a diverse and collaborative team, with a focus on defending securities broker-dealers, financial advisors, and life ins...
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Litigation - Securities Litigation - Defense Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: About FINRA FINRA is a non-governmental organization that regulates the securities industry. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers. All individuals who are licensed to conduct securities transactions for FINR...
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Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Dec 25, 2024
SUMMARY: Director State Relations Government Affairs Apply Logo remote type Remote time type Full time posted on Posted 7 Days Ago job requisition id R-008665 To support the Senior Director, State Affairs, Office of Government Affairs, and the Office of Government Affairs team in man...
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Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Dec 25, 2024
SUMMARY: Principal Analyst, Risk Monitoring - All FINRA Locations Apply Logo time type Full time posted on Posted 7 Days Ago job requisition id R-008728 Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring D...
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Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Dec 10, 2024
SUMMARY: The Strategic Advisor in Market Regulation & Transparency Services (“MRTS”) is a crucial role within the organization, providing leadership and strategic support to the head of Strategic Regulatory Engagement (“SRE”). The role requires a minimum of ten years of experience in securities, comp...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 11, 2024
SUMMARY: Senior Principal Investigator, Cyber Enabled Fraud Group - All FINRA Locations Full time posted on Posted Today job requisition id R-008413 The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled fraud investigations of FINRA...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Oct 07, 2024
SUMMARY: SEO Friendly Job Title: Principal Investigator - Vulnerable Adults and Seniors Team (VAST) - FINRA's National Cause and Financial Crimes Program (NCFC) H1 Heading: Join FINRA's VAST Team as a Principal Investigator! H2 Heading: Investigate Financial Exploitation and Abuse of Seniors and Vulner...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Nov 17, 2024
SUMMARY: Principal Intelligence Specialist, FIU - All FINRA Locations As a Principal Intelligence Specialist at FINRA's Financial Intelligence Unit (FIU), you will play a critical role in identifying emerging risks and potential threats to investors and the market. You will lead projects and analyze data ...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Nov 07, 2024
SUMMARY: FINRA abides by the requirements of 41 CFR 60-1.4(a), 60-300.5(a) and 60-741.5(a). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their ...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 06, 2024
SUMMARY: About FINRA FINRA is a non-governmental organization that regulates the securities industry. FINRA protects investors by making sure the securities industry operates fairly and honestly. FINRA oversees about 3,600 brokerage firms, about 160,000 branch offices and approximately 630,000 registered ...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 13, 2024
SUMMARY: Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting) Jericho,...