Broker Dealer Attorney Jobs in Philadelphia
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Corporate - Private Equity Attorney / Corporate - Securities and Capital Markets Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 17, 2024
SUMMARY: Law Firm Seeking Experienced Senior Associate or Counsel for Corporate Securities Group Saul Ewing, a prestigious law firm, is seeking an experienced senior associate or counsel to join our expanding securities group. This is an excellent opportunity to join a sophisticated and entrepreneurial pr...
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Corporate - Securities and Capital Markets Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 17, 2024
SUMMARY: Law Firm Seeks Experienced Corporate Securities Associate for Multiple Offices Saul Ewing, a leading law firm, is seeking an experienced corporate securities associate to join our expanding securities group. This is an exciting opportunity to join a sophisticated and entrepreneurial practice in a...
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Litigation - Securities Litigation - Defense Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Sep 03, 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: 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,...
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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: 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 ...
Law Student - Public Interest in Philadelphia, PA
Philadelphia, PA
Type: Part Time | Posted Date: Sep 03, 2024
SUMMARY: H1: Spring 2025 Legal Intern at PCAOB: Make a Difference in Global Investor Protection H2: Compensation, Hybrid Work Option, and Role Summary - Spring 2025 Legal Intern position at PCAOB - Part-time role, posted 5 days ago - Job requisition ID: R1051 - Nonprofit organization established by Co...
Corporate - Securities and Capital Markets Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Aug 13, 2024
SUMMARY: Vice President & Associate General Counsel, Capital Markets Policy - $175,600 to $345,700 (Remove contact information, replace company name with organization, replace firm name with organization, replace department name with department) H1: Vice President & Associate General Counsel, Capital Market...
Corporate - Securities and Capital Markets Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Jul 29, 2024
SUMMARY: H1: Senior Associate or Counsel (Corporate Securities) - Multiple Offices H2: Join the Growing Securities Group at Saul Ewing Saul Ewing, a leading law firm, is seeking an experienced senior associate or counsel to join our expanding securities group. This is a great opportunity to become part o...
Corporate - Securities and Capital Markets Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Jul 25, 2024
SUMMARY: Mid-Level Associate (Corporate Securities – Multiple Offices) - Join a growing securities group at a top law firm with a supportive and collegial environment. - Ideal candidate has 4-5 years of experience in public company regulations, securities offerings, and corporate governance. - Knowledg...
Corporate - Asset/Investment Management Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Aug 13, 2024
SUMMARY: **Morgan Lewis Investment Management Registered Funds Midlevel Associate** Morgan Lewis, a leading law firm, is looking for a midlevel associate with law firm, SEC or industry experience to join its Investment Management practice in Philadelphia. The successful applicant must have a strong knowle...
Tax - General Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Jul 29, 2024
SUMMARY: Tax Manager - Financial Services - Hedge Fund Tax (East Region City Locations) H1: Join Deloitte and make an impact that matters H2: Are you a tax professional with a passion for financial products and hedge funds? Deloitte has an exciting opportunity for you! Company Overview: - Deloitt...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Aug 20, 2024
SUMMARY: All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. Associate Principal Analyst, Risk Monitoring - Any FINRA Locatio...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Aug 01, 2024
SUMMARY: Job Title: Principal Analyst, Risk Monitoring Organization: FINRA (Financial Industry Regulatory Authority) Experience: Senior-level Salary: Dependent on location and qualifications, ranging from $92,500 to $200,200 Location: Any FINRA location (CA, WA, DC, CO, HI, MN, VT, NY, WA, MD) H1: Joi...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Jul 30, 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...
Corporate - Securities and Capital Markets Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Jun 27, 2024
SUMMARY: Associate General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/invest...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Jul 16, 2024
SUMMARY: Organization: FINRA Department: Risk Monitoring Job Title: Principal Analyst, Risk Monitoring Experience: - Minimum of 5 years of experience in risk monitoring, financial analysis, or related field. - Experience in the financial industry, with a strong understanding of regulatory develo...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Jun 13, 2024
SUMMARY: FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application acco...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Jun 12, 2024
SUMMARY: Organization: FINRA Department: Market Regulation and Transparency Services Job Title: Principal Analyst, Regulatory Services Management Experience: Minimum of 8 years Salary Range: $92,500 - $200,200 (varies by location) Job Type: Full Time H1: Principal Analyst, Regulatory Services Managem...
Attorney in Philadelphia, PA
Philadelphia, PA
Type: Full Time | Posted Date: Jun 10, 2024
SUMMARY: SEO Friendly Job Title: Director, Risk Monitoring - Capital Markets H1 Heading: Join FINRA as a Director of Risk Monitoring in Capital Markets H2 Heading: Lead a Team of Risk Monitoring Analysts and Oversee Risk Assessments for a Portfolio of Firms Organization: FINRA Department: Risk Mo...