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Finra Jobs in Andover

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United States
Posted On Aug 27, 26
Full-time 2 views Experience : 2-5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange
Practice Area:
Corporate - Securities and Capital Markets Corporate - M&A Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange

Title: Corporate Paralegal Job Responsibilities: As a Corporate Paralegal, you will play a crucial role in supporting the delivery of quality legal services to clients. Your responsibilities will include: - Managing complex projects independently with limited supervision. - Maintaining confidential client information and improving...

Posted On Sep 03, 26
Full-time 17 views Experience : Min 5 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Venture Capital/Emerging Companies
Job Tags:
acquisitions Capital Markets closing documents due diligence equity FINRA Insurance IPO life sciences mergers startup stock exchange Venture Capital
Practice Area:
Corporate - Securities and Capital Markets Corporate - Venture Capital/Emerging Companies
Job Tags:
acquisitions Capital Markets closing documents due diligence equity FINRA Insurance IPO life sciences mergers startup stock exchange Venture Capital

Title: Senior Corporate Paralegal Job Responsibilities: The Senior Corporate Paralegal will be primarily responsible for providing legal support in the areas of Capital Markets, Startups, and Mergers & Acquisitions. The position requires the following specific duties: - Capital Markets and Public Companies: The...

Posted On Sep 03, 26
Full-time 36 views Experience : Min 3 yrs required
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
acquisitions Capital Markets closing documents due diligence emerging technologies Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital
Practice Area:
Corporate - Venture Capital/Emerging Companies Corporate - Securities and Capital Markets Corporate - M&A
Job Tags:
acquisitions Capital Markets closing documents due diligence emerging technologies Employment Discrimination equity FINRA Insurance IPO life sciences mergers Practice of Law Privacy Public Corporations startup stock exchange Venture Capital

Title: Mid-Level Corporate Paralegal Job Responsibilities: The Mid-Level Corporate Paralegal will focus on providing support in areas such as startups, capital markets, and mergers & acquisitions. Specific responsibilities include: - For startups, tasks involve incorporating technology and life sciences companies,...

Posted On Sep 03, 26
Full-time 6 views Experience : Min 3 yrs required
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets closing documents emerging technologies Employment Discrimination FINRA Insurance life sciences Practice of Law Privacy Public Corporations stock exchange
Practice Area:
Corporate - Securities and Capital Markets
Job Tags:
Capital Markets closing documents emerging technologies Employment Discrimination FINRA Insurance life sciences Practice of Law Privacy Public Corporations stock exchange

Title: Mid-Level Capital Markets & Public Companies Paralegal Job Responsibilities: The Mid-Level Corporate Paralegal will be responsible for handling matters related to Capital Markets and Public Companies. Key duties include: - Managing IPOs and public company operations. - Preparing registration...

Posted On Jul 29, 26
Full-time 1 views Experience : Min 8 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements Capital Markets child closing documents due diligence Energy family finance FINRA health benefits IPO life sciences SEC filings Software stock exchange

Title: Capital Markets Group Paralegal Job Responsibilities: As a Capital Markets Group Paralegal, you will support the delivery of quality legal services to clients by performing technical tasks that require accuracy, attention to detail, strong organizational skills, strong written and oral communication...

Posted On Sep 07, 26
Full-time 3 views Experience : Min 2 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements child Corporate Law criminal Energy family finance FINRA fund formation health benefits life sciences limited liability companies partnerships Software

Title: Private Funds Paralegal Job Responsibilities: The Private Funds Paralegal will play a crucial role in supporting attorneys in all phases of fund formation, investor onboarding, and fund management. The responsibilities include: - Assisting attorneys with the formation and structuring of private investment...

Posted On Jul 07, 26
Full-time 7 views Experience : Min 9 yrs required
Practice Area:
Finance - Financial Services Regulation Corporate - Asset/Investment Management Finance - General Corporate - General
Job Tags:
banking corporate governance due diligence Employer Rights family fiduciary FINRA Genetics Registered Investment Advisor
Practice Area:
Finance - Financial Services Regulation Corporate - Asset/Investment Management Finance - General Corporate - General
Job Tags:
banking corporate governance due diligence Employer Rights family fiduciary FINRA Genetics Registered Investment Advisor

Title: Senior Legal Counsel for Retail and Private Banking Job Responsibilities: - Provide legal counsel on investment products and services, focusing on regulatory and contractual requirements, suitability standards, fiduciary obligations, disclosure requirements, legal risk mitigation, and product due diligence activities. - Act as...

Posted On Jul 07, 26
Full-time 10 views Experience : 3-5 yrs required
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General Finance - General
Job Tags:
agreements due diligence fiduciary FINRA Securities Act of 1933 Securities Exchange Act of 1934 securities laws trusts wealth management
Practice Area:
Corporate - Asset/Investment Management Finance - Financial Services Regulation ERISA/Executive Compensation Transactions & Compliance ERISA - General Corporate - General Finance - General
Job Tags:
agreements due diligence fiduciary FINRA Securities Act of 1933 Securities Exchange Act of 1934 securities laws trusts wealth management

Title: Counsel - Wealth Management Job Responsibilities: - Provide legal support to wealth management, trust, fiduciary, investment advisory, and brokerage business units. - Interpret and apply fiduciary principles and duties to ensure compliance with relevant laws and regulations. - Offer advice on advisory and...

Posted On Jul 10, 26
Full-time 1 views Experience : Min 2 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
contracts FINRA Securities Software special projects title
Practice Area:
Corporate - Securities and Capital Markets Corporate - Compliance Corporate - General
Job Tags:
contracts FINRA Securities Software special projects title

Title: Junior Attorney Date: September 2025 Department: Legal Status: Full Time, Exempt Job Summary: We are seeking a highly motivated Junior Attorney to join our Legal team. The successful candidate will support the General Counsel and legal department in a wide range of responsibilities,...

Posted On Jul 13, 26
Full-time 6 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
40 Act asset management corporate governance employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing private equity Securities Act of 1933
Practice Area:
Corporate - Asset/Investment Management Corporate - Private Equity Corporate - General
Job Tags:
40 Act asset management corporate governance employee benefits ERISA FINRA Investment Advisers Act of 1940 marketing private equity Securities Act of 1933

Title: VP, Private Markets Attorney Job Responsibilities: The VP, Private Markets Attorney is primarily responsible for providing legal advice and directing external counsel in relation to fundraising, marketing activities, and compliance requirements. Key responsibilities encompass a wide range of activities within the...

Posted On Jul 13, 26
Full-time 2 views Experience : Min 4 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements asset management contracts employee benefits ERISA ETFs FINRA Investment Advisers Act of 1940 investment management marketing Securities Securities Act of 1933 swaps wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
1940 Act agreements asset management contracts employee benefits ERISA ETFs FINRA Investment Advisers Act of 1940 investment management marketing Securities Securities Act of 1933 swaps wealth management

Title Investment Management Attorney Job Responsibilities As an Investment Management Attorney, you will be part of the legal team in the department, reporting to the Head of Solutions and Multi-Assets Legal and working under the supervision of senior attorneys. Your...

Posted On Aug 19, 26
Full-time 4 views Experience : Min 10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements brokers Commercial Contracts contracts fiduciary FINRA partnerships regulatory compliance wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - General
Job Tags:
agreements brokers Commercial Contracts contracts fiduciary FINRA partnerships regulatory compliance wealth management

Title: Senior Counsel, VP – Wealth Services Legal Job Responsibilities: - Provide comprehensive legal support for the company's Wealth businesses focusing on retail brokerage elements within the Wealth initiatives. - Advise on SEC, CFTC, applicable bank regulation, and other regulatory...

Posted On Aug 20, 26
Full-time 1 views Experience : 5-10 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options
Practice Area:
Corporate - Asset/Investment Management Corporate - Compliance Corporate - General
Job Tags:
agreements Financial Institutions FINRA health benefits Investment Advisers Act of 1940 M&A Securities securities laws stock options

Title: VP, Assistant General Counsel - Brokerage Job Responsibilities: - Provide day-to-day legal support for the company's financial services business, including legal analysis and advice regarding applicable rules, regulations, and legal risks related to brokerage and investment advisory businesses. -...

Posted On Aug 28, 26
Full-time 4 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity Financial Institutions FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing NASDAQ private equity regulatory compliance Securities securities laws stock options wealth management

Title: Vice President, Assistant General Counsel Job Responsibilities: - Provide strategic legal advice related to the onboarding, due diligence, sales, and ongoing controls of Alternative Investments, Complex Products, and Digital Assets. - Offer day-to-day legal support for the alternative investments platform, ensuring compliance...

Posted On Sep 01, 26
Full-time 2 views Experience : Min 6 yrs required
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management
Practice Area:
Corporate - Asset/Investment Management Corporate - Securities and Capital Markets Corporate - General
Job Tags:
agreements artificial intelligence civil litigation due diligence equity FINRA health benefits hedge funds Investment Advisers Act of 1940 marketing private equity regulatory compliance Securities securities laws stock options wealth management

Title: VP, Wealth Management Alternative Investments Attorney Job Responsibilities: - Provide day-to-day legal support for the company's alternative investments platform, ensuring compliance with applicable rules, regulations, and assessing legal risks related to the brokerage and investment advisory business. - Draft,...

Posted On Aug 25, 26
Full-time Experience : Min 10 yrs required
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials
Practice Area:
Administrative Law Government / Public Law Government - General
Job Tags:
Affirmative Action agreements Case Law child Code of Conduct directors domestic partner family FINRA Insurance invention Litigation Partnership Securities Securities Exchange Act of 1934 securities laws spouse trials

Title: Director, Enforcement Job Responsibilities: The Director of Enforcement is responsible for managing a team of 5-8 Enforcement attorneys, overseeing the development and resolution of enforcement cases from inception to completion. The Director ensures that each case is supported by accurate and...

Posted On Jun 01, 26
Full-time 8 views Experience : Min 6 yrs required
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse
Practice Area:
Litigation - Regulatory Enforcement (SEC, Telecom, Energy, etc.) Litigation - Securities Litigation - Plaintiffs
Job Tags:
Affirmative Action child Code of Conduct domestic partner evidence family FINRA Insurance invention Litigation Securities spouse

Title: Counsel, Enforcement Job Responsibilities: - Resolve non-complex enforcement matters through rigorous assessment and effective advocacy. - Execute risk-based legal strategies to fairly assess cases, recommend outcomes, negotiate settlements, and assist in litigation preparation. - Achieve transparent enforcement outcomes, identify relevant considerations, recommend charges,...

Posted On Jun 26, 26
Full-time 7 views Experience : Min 4 yrs required
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa
Practice Area:
Finance - Financial Services Regulation Finance - General
Job Tags:
advertising agreements alcohol bylaws children contracts Disability Benefits ETFs FINRA health benefits Insurance investment management marketing Mutual Funds registered investment companies regulatory compliance Securities Act of 1933 Securities Exchange Act of 1934 Visa

Title: Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management) Job Responsibilities: The Senior Counsel will be responsible for supporting the legal and regulatory aspects of distributing registered investment companies and private investment funds within the Wealth and Investment...

Posted On Jun 30, 26
Full-time 10 views
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management
Practice Area:
Data Privacy - Transactional
Job Tags:
banking Cybersecurity Data Protection data security Financial Institutions FINRA health benefits NASDAQ Privacy privacy laws regulatory compliance stock options wealth management

Title: Vice President, Assistant General Counsel, Cybersecurity Job Responsibilities: The Vice President, Cybersecurity Attorney will serve as the lead legal advisor in cybersecurity matters, providing strategic legal counsel across various domains. Key responsibilities include: - Advising on legal and regulatory obligations...

Posted On Jul 13, 26
Full-time 20 views Experience : 4-20 yrs required
Practice Area:
Finance - General Finance - Structured Finance
Practice Area:
Finance - General Finance - Structured Finance

law firm seeks a seasoned finance attorney to join its dynamic Boston team. This role sits at the nexus of private credit, fund finance, and collateralized loan obligations (CLOs), offering a chance to work on cutting-edge transactions for leading asset...

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