Post Jobs Upload Your Resume Log in

Broker Dealer Jobs in Bloomfield

4 jobs
  1. Legal Jobs
  2. Browse Legal Jobs
  3. Connecticut
  4. Bloomfield
  5. Broker Dealer

Preview Results

Here’s a preview of jobs we found from direct employer sources. To protect confidentiality and prevent scraping, full results require an email + account access.

Direct-from-employer coverage Private search Less competition vs. paid ads
Filter by

Sign Up

United States
Posted On Aug 26, 26
Full-time 1 views Experience : 10-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Tax - Employee Benefits & Executive Compensation Tax-General Practice (Transaction) Corporate - General Tax - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Tax - Employee Benefits & Executive Compensation Tax-General Practice (Transaction) Corporate - General Tax - General
Job Tags:
advertising agreements Broker Dealer contracts distribution agreements employee benefits financial products FINRA Insurance licensing marketing Partnership

Title: AVP, Sr. Counsel, Broker-Dealer and Investment Advisor Job Responsibilities: -... Provide strategic legal counsel, regulatory guidance, and practical business support for distribution-related activities across the company. - Partner with Legal, Compliance, Operations, Enterprise Brand, Advertising and Marketing, Enterprise Producer Solutions Operations, and...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Jul 20, 26
Full-time 6 views Experience : Min 1 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate governance directors due diligence Financial Industry Regulatory Authority FINRA initial public offerings Mergers and Acquisitions Securities Securities Exchange Act of 1934 shareholders underwriters
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate governance directors due diligence Financial Industry Regulatory Authority FINRA initial public offerings Mergers and Acquisitions Securities Securities Exchange Act of 1934 shareholders underwriters

underwriters, placement agents, or broker-dealers in various capital market... transactions, including initial public offerings, secondary market offerings, registered direct offerings, and private placements. - Prepare relevant filings and responses with the Financial Industry Regulatory Authority in connection with transactions. - Support senior...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Sep 08, 26
Full-time 79 views Experience : 7-15 yrs required
Practice Area:
Corporate - Contract Law Corporate - M&A Corporate - General
Job Tags:
acquisitions agreements banking brokers CCPA Commercial Law contracts Corporate Law due diligence FLSA Genetics Insurance Intellectual Property licensing Litigation M&A Partnership privacy laws regulatory compliance
Practice Area:
Corporate - Contract Law Corporate - M&A Corporate - General
Job Tags:
acquisitions agreements banking brokers CCPA Commercial Law contracts Corporate Law due diligence FLSA Genetics Insurance Intellectual Property licensing Litigation M&A Partnership privacy laws regulatory compliance

Title: General Counsel, Commercial Experience: 7-15 years of corporate law practice, with a focus on transactional commercial law and contract negotiations, review, and drafting. Location: Hartford, CT Salary: Competitive, based on experience Department: Legal Travel: Up to 10% H1:...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Posted On Aug 15, 26
Full-time 21 views Experience : 1-3 yrs required
Practice Area:
Insurance - Regulatory & Compliance Corporate - M&A Corporate - General
Practice Area:
Insurance - Regulatory & Compliance Corporate - M&A Corporate - General

in New York, NY or Chicago, IL. The successful candidate will join a team specializing in insurance laws, regulations, and corporate transactions, providing strategic counsel to industry on fund formation and investment compliance with broker-dealer mergers, ac...

Sign In or Sign Up in seconds to view this job on LawCrossing.

Archived Job Listings: Real Employers, Hidden Opportunities

The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.

  • ✅ LawCrossing has monitored employer hiring for 25+ years
  • ✅ Archived jobs include the original post date for transparency
  • ✅ Over 50% of LawCrossing job seekers find success this way

Attorney The candidate, as a member of the US Business Law team, supports more senior attorneys in providing legal advice and counsel on issues related to company products, services and business relationships. Provides support to Regional Counsel - which support the healthcare sales, underwriting and provider contracting organizations in specific states - on the US Business Law team, including: conducting legal research as requested by a senior attorney; negotiatin... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Senior Legal Assistant The candidate responsibilities will include: Responsibilities include supporting the attorneys and other professionals on broker dealer cycle examinations, branch... examinations, inquiries and investigations, as well as handling some matters independently. Additionally, will have responsibility for making disclosures to FINRA on Forms U4 and U5 as well as under FINRA Rule 4530. The incumbent is expected to have experience in securities regulation or liti... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Analyst The candidate will investigate and respond to customer complaints received directly or by way of FINRA, SEC and/or State Regulators, concerning a variety of products and services such as Variable Annuities, Brokerage, Advisory, REITs, DPPs, etc. Perform thorough research based on allegations outlined in the complaint. Provide outstanding customer service to both internal and external customers throughout the complaint resolution process. Evaluate complaint... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Analyst The candidate will investigate and respond to customer complaints received directly or by way of FINRA, SEC and/or State Regulators, concerning a variety of products and services such as Variable Annuities, Brokerage, Advisory, REITs, DPPs, etc. Perform thorough research based on allegations outlined in the complaint. Provide outstanding customer service to both internal and external customers throughout the complaint resolution process. Evaluate complaint... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Chief Compliance Officer - US Broker-Dealers The candidate will report... directly to the . Chief Compliance Officer and will be responsible for the effective leadership of the overall compliance program for all broker-dealer and investment adviser entities... supporting the US Retirement, Insurance and Annuity business lines, and will coordinate effectively with the Investment Management business and Compliance function, as well. Duties include management of robust processes t... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Chief Compliance Officer - US Retirement Solutions The candidate will report directly to the US Chief Compliance Officer and will be responsible for the effective leadership of the overall compliance program for US Retirement Solutions and will coordinate closely and effectively with the US Broker-Dealer Compliance function. Duties include... managing robust processes to establish, maintain, review, test and modify policies and procedures designed to achieve compliance with app... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Chief Compliance Officer - US Retirement Solutions The candidate will report directly to the US Chief Compliance Officer and will be responsible for the effective leadership of the overall compliance program for US Retirement Solutions and will coordinate closely and effectively with the US Broker-Dealer Compliance function. Duties include... managing robust processes to establish, maintain, review, test and modify policies and procedures designed to achieve compliance with app... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Chief Compliance Officer - Retirement Solutions The candidate will report to the US Chief Compliance Officer and will be responsible for the effective leadership of the overall compliance program for US Retirement Solutions, including Broker-Dealer and advisory compliance issues.... Duties include managing robust processes to establish, maintain, review, test and modify policies and procedures designed to achieve compliance with applicable state and federal laws and rules, incl... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Counsel The candidate will provide day-to-day legal support for the US Annuities business, covering the entire life cycle of annuities products, including manufacturing (application of insurance, contract, consumer protection, and other applicable laws), marketing, distribution through an affiliated broker-dealer network and other channels... and issues relating to the administration of existing products. Will have the opportunity to provide legal support in relation to broader... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

Senior Counsel The candidate will provide day-to-day broker-dealer legal services to company's... wholesale broker-dealers and retail broker-dealer. Will... provide distribution legal expertise and support to company's Retirement Solutions and Insurance Solutions businesses, as well as the company's Closed Block Variable Annuity segment, on matters of broker-dealer and investment adviser regulation.... Will provide legal advice and support on behalf of the Law Department regarding pr... read more

Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here

By Employer Type

In-House Recruiter Law Firm
Narrow Your Search Results - Try Advanced Search
Share these jobs with a friend