Broker Dealer Attorney Jobs in Florida

Corporate Associate The candidate must have 1-2 years of securities experience. Should preferably be a member in good standing with the Florida Bar. The position requires excellent research, drafting, communication, writing, ..

Financial Services Regulatory Associate The candidate should have 3-5 years of financial services regulatory experience in the areas of state insurance laws and regulation, with a focus on insurance company operations, ..

Senior Counsel, Regulatory Attorney The candidate will advise on securities laws, most particularly relating to broker-dealers. Will have familiarity with Reg BI and FINRA Rules and their applications to broker-dealers. Draft ..

Job OverviewA law firm seeks a transactional associate with at least three years of experience or a senior counsel with at least eight years of experience to join the investment management ..

Vice President, Corporate Counsel, Retail Advice and Solutions The candidate will be providing thought leadership and support as a key member of the distribution legal team. Will address full range of ..

Job OverviewA law firm seeks an Insurance Transactional and Regulatory Associate in Miami. The ideal candidate will have experience in fund formation, investment management, and broker-dealer regulation. This role involves providing ..

Bilingual IPB U.S. Estates Sr Supervisor The candidate will monitor operation performance of the Estates Unit by delivering quality and timeliness of service and identification of improvement opportunities based on Voice ..

Job OverviewA law firm seeks an Insurance Transactional and Regulatory Associate in West Palm Beach. The ideal candidate will have experience in fund formation, investment management, and broker-dealer regulation. This role ..

Advisory And Principal Investments Compliance Analyst The candidate will conduct the initial review of all advisory, financing and principal transactions for evidence of conflicts and send escalations to the appropriate stakeholders. ..

Job OverviewA law firm seeks a transactional associate with at least three years of experience or a senior counsel with at least eight years of experience to join the investment management ..