Broker Dealer Attorney Jobs in Rockville

Investment Management Associate; Senior Associate – Securities The candidate must have 2-4 years of post-JD experience. Should have experience advising and representing investment advisers, broker-dealers, hedge funds, securities exchanges, or securities ..

Investment Management Associate The candidate must be a junior to mid-level corporate associate with investment management experience. Must have experience with investment advisory regulatory matters and counseling securities and investment management ..

Assistant General Counsel, Compliance The candidate will be responsible for: Provide crucial thought-leadership and action in the creation and implementation of company’s Compliance Program, to include development of various aspects of ..

Job OverviewA law firm seeks an Asset Management Associate to join the Regulatory & Enforcement practice in Washington, DC. The ideal candidate will have three to six years of experience advising ..

Associate General Counsel, Regulatory The candidate will ensure that internal teams are aware of broker-dealer and other financial services regulatory considerations related to our operations and services, apprised of upcoming policy ..

Job Overview A law firm seeks a mid-level associate for their Financial Institutions Group in Washington, D.C. The candidate should have 2-5 years of experience in regulatory areas such as broker-dealer ..

A law firm seeks a Counsel-level attorney to join its esteemed and expanding Securities Enforcement practice group. This role involves representing a diverse range of clients, including corporations, financial market participants, ..

Paralegal Duties: Supporting CAES Board Operations by supporting SSA Board meetings, managing meeting dates, preparing agenda, and annual agenda plan, owning web-based Board tool, and serving as a POC for the ..

Associate General Counsel - Enforcement The candidate will be assisting the firm’s Chief Counsel on Investigations & Enforcement in handling various regulatory and enforcement-related matters, including handling regulatory inquiries from the ..

... a motivated and talented litigation attorney with experience in securities and ... and commodities issues in the broker-dealer and futures commission merchant space, ... financial services regulatory agency, exchange,..

Analyst, Corporate Finance The candidate reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. Conducts investigations of cases which have been identified as potential ..