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Broker Dealer Jobs in Waterbury

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United States
Posted On Sep 18, 26
Full-time 4 views Experience : 6-8 yrs required
Job Tags:
abuse AML criminal due diligence Ethics evidence finance Harassment indemnity International Law Partnership regulatory compliance
Job Tags:
abuse AML criminal due diligence Ethics evidence finance Harassment indemnity International Law Partnership regulatory compliance

Title Head of US Risk & Compliance (Ethics & Professional Responsibility) Job Responsibilities - Oversee the regulatory compliance, and professional indemnity elements of the firm's US Risk & Compliance team. - Supervise and optimize US new business intake (NBI), conflicts analysis, and resolution, including...

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Posted On Sep 23, 26
Full-time 2 views Experience : Min 5 yrs required
Practice Area:
Construction/Developer-Agreements & Transactions Litigation - Construction - General Litigation - Construction - Plaintiffs Construction - General
Job Tags:
agreements brokers construction Construction Law contracts Education Law indemnity Insurance warranty
Practice Area:
Construction/Developer-Agreements & Transactions Litigation - Construction - General Litigation - Construction - Plaintiffs Construction - General
Job Tags:
agreements brokers construction Construction Law contracts Education Law indemnity Insurance warranty

Title: Contracts Attorney Job Responsibilities: - Draft and negotiate contracts with public and private owners for general contractor services and construction management at-risk services for commercial and infrastructure projects. This includes contracts based on stipulated sums or cost of work, with or...

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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...

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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...

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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:...

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Posted On Aug 14, 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...

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