{"id":3401979,"url":"https://alion.io/job/janneycom-associate-counsel-early-dispute-resolution","title":"Associate Counsel, Early Dispute Resolution","company":{"id":1945292,"name":"JanneyCom","domain":"janney.com","url":"https://alion.io/company/janney","size_band":"501-1000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Dayforce","truth_index":{"grade":"B","score":75,"open_postings":4,"ghost_share":0,"stale_share":1,"repost_share":0,"time_to_fill_p50_days":null,"computed_at":"2026-10-29T05:49:05Z"}},"role":"Legal","role_family":"Legal","seniority":null,"employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Philadelphia, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":null,"experience_years_min":null,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[],"status":"live","first_seen_at":"2026-10-27T04:00:00Z","employer_posted_date":"2026-10-28","last_verified_at":"2026-10-29T03:21:13Z","board_verified":true,"closed_at":null,"days_open":2,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":2},"description":"Janney Montgomery Scott, a dually registered broker-dealer (FINRA member) and SEC-registered investment adviser, seeks an Associate Counsel, Early Dispute Resolution. The Associate Counsel will report to the Deputy General Counsel, Litigation and Regulatory Affairs, and will be primarily responsible for identifying, triaging, investigating, and responding to client complaints and related regulatory inquiries across the firm’s brokerage and advisory businesses. The Associate Counsel will also partner with Janney’s Financial Advisors to identify potential financial exploitation of senior and vulnerable investors, to implement FINRA Rules 2165 and 4512, including placing temporary holds, and to make reports to state regulators and adult protective services where state law requires or permits. In addition, the Associate Counsel will serve as the legal resource for the firm’s privacy and information security program and will help implement and maintain Janney’s Incident Response Plan. The role involves close collaboration with senior business leaders, Compliance, Marketing, Operations, Sales Support, Information Services, Supervision, regulators, and internal and external auditors.\nWhat you are good at:\nCommunication – Writes and speaks clearly and persuasively, and prepares prompt, accurate correspondence to clients and regulators consistent with firm policies and procedures.\nDetail Oriented & Driven – Manages multiple high-volume, time-sensitive matters with precision. Takes ownership of matters from intake through resolution and is eager to learn.\nProblem Solving & Critical Thinking – Resourceful problem solver who brings practical, solutions-based judgment to legal and regulatory issues and proactively takes on challenges.\n\nResponsibilities:\nIdentify, investigate, code, and respond to brokerage and advisory client complaints, and ensure timely Form U4/U5 amendments and quarterly statistical reporting under FINRA Rule 4530\nEvaluate complaints for early resolution before they escalate to FINRA arbitration or litigation, and coordinate with outside counsel as needed\nInvestigate and respond to inquiries from FINRA, the SEC, and state securities regulators concerning client complaints, Financial Advisor activity, and related matters\nMaintain firm policies and procedures for complaint handling, incident response, privacy and information security (including Regulation S-P), and senior investor protection (including FINRA Rules 2165 and 4512)\nSupport SEC and FINRA examinations of the firm’s broker-dealer and investment adviser businesses, as well as examinations by state regulators and other self-regulatory organizations\nAssist with internal audits and third-party audits\nAdvise on regulatory issues and filings under federal and state securities laws, including the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, Regulation Best Interest, and FINRA rules\nSupport general corporate matters as needed, including review and negotiation of vendor, data-sharing, and other commercial agreements\nParticipate in industry trade associations (e.g., SIFMA), committees, and roundtables\nWhat you have:\nJ.D. from an ABA-accredited law school and active bar admission in good standing (or eligibility for in-house registration) required\n2 to 5 years of legal, regulatory, or compliance experience at a broker-dealer, investment adviser, law firm, or securities regulator required\nWorking knowledge of FINRA rules, the Investment Advisers Act, and Regulation Best Interest; experience with customer complaints, arbitration, or regulatory inquiries preferred\nExperience at a law firm and/or in a corporate legal department preferred\nExperience at a mid-size to large financial services firm preferred; familiarity with privacy, cybersecurity, or senior investor protection matters a plus\nStrong service orientation and the ability to build effective working relationships with peers, business units, leadership, and outside partners\nExcellent oral and written communication skills, including the ability to explain complex information clearly to all levels of the organization\nWhy work for us?\nBenefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future. Explore further.\n\nJanney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.\n\nPeople are our strongest asset. We recognize that when our team members thrive, our firm is more successful.","description_format":"text","description_chars":5140,"description_truncated":false,"requirements":{"experience_years_min":null,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":null,"security_clearance":false,"languages":[]},"benefits":["Parental leave","Professional development"],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Financial Services","Wealth Management & Financial Advisors"],"lifecycle":[{"event":"open","at":"2026-10-28T14:48:48Z"}],"visa":[],"liveness":{"score":95,"band":"hot","label":"Hiring now","p_open":1,"p_active":0.946,"p_room":1,"age_days":2,"expected_fill_days":26,"reasons":["conf:2","urgency","win:early"],"computed_at":"2026-10-29T05:49:05Z"},"pay":null,"html_url":"https://alion.io/job/janneycom-associate-counsel-early-dispute-resolution","json_url":"https://alion.io/job/janneycom-associate-counsel-early-dispute-resolution.json","meta":{"generated_at":"2026-10-29T06:36:06Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":10015,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-10-30T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":1945292},"rest":"https://alion.io/mcp/rest/get_company?id=1945292"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fjanneycom-associate-counsel-early-dispute-resolution"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fjanneycom-associate-counsel-early-dispute-resolution"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fjanneycom-associate-counsel-early-dispute-resolution"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/janneycom-associate-counsel-early-dispute-resolution\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fjanneycom-associate-counsel-early-dispute-resolution"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":3401979}},{"tool":"search_jobs","arguments":{"company":"janney.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":3401979},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. 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